You are on page 1of 67

Case 2:16-cv-07733 Document 1 Filed 10/17/16 Page 1 of 17 Page ID #:1

1 Peter L. Haviland (Bar Number 144967)


havilandp@ballardspahr.com
2 Scott S. Humphreys (Bar Number 298021)
humphreyss@ballardspahr.com
3 Terrence M. Jones (Bar Number 256603)
jonestm@ballardspahr.com
4 BALLARD SPAHR LLP
2029 Century Park East, Suite 800
5 Los Angeles, CA 90067-2909
Telephone: 424.204.4400
6 Facsimile: 424.204.4350
7 Attorneys for Plaintiff
Century of Progress Productions
8
9 UNITED STATES DISTRICT COURT
10 CENTRAL DISTRICT OF CALIFORNIA
11
12 CENTURY OF PROGRESS ) Case No. 2:16-cv-07733
PRODUCTIONS, )
13 )
Plaintiff, ) COMPLAINT FOR:
14 )
v. ) (1) Breach of Contract;
15 )
) (2) Breach of the Implied Covenant
16 VIVENDI S.A.; STUDIOCANAL; ) of Good Faith and Fair Dealing;
STUDIOCANAL IMAGE; ) (3) Fraud;
17 RON HALPERN, an individual; and )
) (4) Accounting; and
DOES 1 through 10, inclusive, ) (5) Declaratory Relief Re:
18 ) Trademark (28 U.S.C. 2201)
19 Defendants. )
)
20 ) DEMAND FOR JURY TRIAL
)
21 )

22
23
24
25
26
27
28

COMPLAINT AND DEMAND FOR JURY TRIAL


Case 2:16-cv-07733 Document 1 Filed 10/17/16 Page 2 of 17 Page ID #:2

1 PRELIMINARY STATEMENT
2 1. Harry Shearer, creator of the radio and podcast program "Le Show,"
3 and voice of some twenty-three characters on "The Simpsons," is co-creator of
4 the movie classic This Is Spinal Tap, in which he performed as the musician
5 Derek Smalls.
6 2. This Is Spinal Tap and its music, which Shearer also co-wrote,
7 including such songs as "Sex Farm" and "Stonehenge," have remained popular for
8 more than thirty years, and have earned considerable sums for the French
9 conglomerate Vivendi S.A.
10 3. But not for its creators. Defendant Vivendi and its agents, including
11 StudioCanal executive Ron Halpern, have engaged in anti-competitive business
12 practices by manipulating accounting between Vivendi film and music subsidiaries
13 and have engaged in fraud to deprive the Spinal Tap creators of a fair return for
14 their work.
15 4. To address this fraud, Mr. Shearer through his company Century of
16 Progress Productions ("CPP" or "Plaintiff") brings the present action seeking not less
17 than one hundred twenty five million dollars ($125,000,000) in compensatory and
18 punitive damages. Plaintiff is concurrently issuing notices of copyright termination
19 and has filed trademark applications to secure creative rights. CPP seeks a judicial
20 declaration vindicating those rights, which have been abandoned by Vivendi.
21 5. Since the movies release in 1984, This Is Spinal Tap music,
22 merchandise, classic phrases and images have become ubiquitous in popular culture.
23 The movie itself had two theatrical releases and has been re-sold in a number of
24 commercial formats. A series of companies has profited from merchandising,
25 music, film, television and video rights. For many years, Vivendi and its
26 subsidiaries, including Canal Plus, StudioCanal, StudioCanal Image and Universal
27 Music Group ("Vivendi"), have claimed and administered many of these rights and
28 have been responsible for accounting to the co-creators, including Plaintiff.
2
COMPLAINT AND DEMAND FOR JURY TRIAL
Case 2:16-cv-07733 Document 1 Filed 10/17/16 Page 3 of 17 Page ID #:3

1 6. But according to Vivendi, the four creators share of total worldwide


2 merchandising income between 1984 and 2006 was $81 (eighty-one) dollars.
3 Between 1989 and 2006 total income from music sales was $98 (ninety-eight)
4 dollars. Over the past two years, Vivendi has failed to provide accounting
5 statements at all.
6 7. Vivendi has engaged and is continuing to engage in anti-competitive
7 and unfair business practices and has abandoned its obligations to enforce
8 intellectual property rights in This Is Spinal Tap, unlawfully depriving Plaintiff of
9 substantial revenues. Vivendi has also failed, and continues to fail, to account
10 honestly for income actually received from This Is Spinal Tap.
11 THE PARTIES
12 8. Plaintiff is a California corporation with its principal place of business
13 in Sherman Oaks, California.
14 9. Defendant Vivendi S.A. ("Vivendi") is a French corporation
15 headquartered in Paris, France, doing business in and engaging in acts affecting
16 Plaintiff within this judicial district.
17 10. Defendant StudioCanal ("Canal") is a subsidiary of Vivendi,
18 headquartered in Paris, France, doing business in and engaging in acts affecting
19 Plaintiff within this judicial district.
20 11. Defendant StudioCanal Image, a French joint stock company and
21 subsidiary of Vivendi, is the last listed owner for certain federal trademark
22 registrations in the trademark SPINAL TAP which have been abandoned and
23 cancelled by the United States Patent and Trademark Office.
24 12. Defendant Ron Halpern is an executive of Canal, resident in Paris,
25 France, doing business in and engaging in acts directed at persons and entities
26 within this judicial district.
27 13. Does 1 through 10 are persons and/or entities whose true names and
28 capacities are unknown to Plaintiff and who participated in, conspired with, and/or
3
COMPLAINT AND DEMAND FOR JURY TRIAL
Case 2:16-cv-07733 Document 1 Filed 10/17/16 Page 4 of 17 Page ID #:4

1 caused Defendants to engage in the fraud and breaches of contract as alleged herein
2 and who are otherwise responsible and liable to Plaintiff for the wrongful acts
3 alleged herein. Plaintiff will amend this Complaint to allege the true names and
4 capacities of said defendants as they become known.
5 JURISDICTION AND VENUE
6 14. This Court has jurisdiction under 28 U.S.C. 1332 as the matter in
7 controversy exceeds the sum or value of $75,000 exclusive of interest and costs,
8 and is between citizens of a State and citizens or subjects of a foreign state.
9 15. This Court has jurisdiction pursuant to 28 U.S.C. 1331 and 1338(a)
10 because this action seeks declaratory judgment that Defendants lack rights to enforce
11 abandoned trademarks under the Lanham Act, 15 U.S.C. 1051 et seq.
12 16. Venue is proper in this district under 28 U.S.C. 1391(b) because a
13 substantial part of the events that the claims are based upon occurred in this district.
14 17. Jurisdiction and venue are proper in this Court because Defendants,
15 through their predecessor-in-interest Embassy Pictures, a California joint venture,
16 contractually consented to submit to the jurisdiction of the District Court of the
17 Central District of California.
18 ALLEGATIONS COMMON TO ALL CAUSES OF ACTION
19 The Genesis and Success of "This Is Spinal Tap"
20 18. Christopher Guest ("Guest"), Michael McKean ("McKean") and
21 Harry Shearer ("Shearer") first performed together live as Spinal Tap in a television
22 show in the 1970's. They later, with Rob Reiner, developed the characters in the
23 Spinal Tap band and made a short film with improvised scenes and seven songs.
24 In the process of attempting to turn that short film into a feature-length movie, they
25 formed a joint partnership, "Spinal Tap Productions" ("STP"). On the strength of
26 this work, on May 7, 1982, Reiner, Shearer, Guest, and McKean, as co-owners of
27 STP, signed an agreement (the "Agreement") with Embassy Pictures ("Embassy")
28
4
COMPLAINT AND DEMAND FOR JURY TRIAL
Case 2:16-cv-07733 Document 1 Filed 10/17/16 Page 5 of 17 Page ID #:5

1 for production, financing, and distribution of the motion picture This Is Spinal Tap
2 ("TIST" or "the Film").
3 19. Under the terms of the Agreement, STP and its principals Reiner,
4 Shearer, Guest and McKean were to receive fixed, deferred and contingent
5 compensation for their services in the form of profit participation payments based
6 on all sources of revenue, including, without limitation, merchandise and music.
7 20. TIST was released in 1984. The renowned Chicago Sun film critic
8 Roger Ebert described TIST as "absolutely inspired" in a 1984 review that well
9 summarized the films appeal:
10 Rock musicians never die, they just fade away, and
11 This Is Spinal Tap is a movie about a British rock
group that is rocketing to the bottom of the charts. It also
12 is one of the funniest, most intelligent, most original
films of the year.
13 The movie looks like a documentary filmed during the
14 death throes of a British rock band named Spinal Tap.
It is, in fact, a satire. The rock group does not really
15 exist, but the best thing about this film is that it could.
The music, the staging, the special effects, the backstage
16 feuding and the pseudo-profound philosophizing are right
out of a hundred other rock groups and a dozen other
17 documentaries about rock.

18 The group is in the middle of an American tour. The tour


is not going well. Spinal Tap was once able to fill giant
19 arenas, but its audiences have grown smaller and smaller,
and concert dates are evaporating as the bad news gets
20 around. No wonder. Spinal Tap is a bad rock n roll
band. It is derivative, obvious, phony and pretentious,
21 and it surrounds itself with whatever images seem
commercial at the moment (a giant deaths head on stage,
22 for one).

23 The movie is absolutely inspired in the subtle way it


establishes Spinal Taps badness. The satire has a deft,
24 wicked touch. Spinal Tap is not that much worse than,
not that much different from, some successful rock
25 bands. A few breaks here or there, a successful album,
and they could be back in business. (Proof of that:
26 A soundtrack album, Smell the Glove, is getting lots
of airplay with cuts like Sex Farm).
27
28
5
COMPLAINT AND DEMAND FOR JURY TRIAL
Case 2:16-cv-07733 Document 1 Filed 10/17/16 Page 6 of 17 Page ID #:6

1 21. TIST was quickly recognized as a unique film with long-term appeal,
2 as shown in its later inclusion in "best ever" lists such as The New York Times Guide
3 to the Best 1,000 Movies Ever Made; Entertainment Weeklys 100 Greatest Movies
4 of All Time where it appeared on the "Just Too Beloved to Ignore" list; and the
5 100 Greatest Movies of All Time list published by Total Film. Confirming TISTs
6 strong international appeal and following, in 2011 Time Out London named the film
7 number one on its list of The 100 Best Comedy Movies. In 2002, the National Film
8 Registry of the Library of Congress designated TIST as a culturally, historically, or
9 aesthetically significant film. TIST still enjoys popularity on television, home video,
10 and other media, including a 25th Anniversary Blu-Ray DVD release in 2009.
11 22. TIST was produced on a shoestring budget of approximately $2.25
12 million dollars. On information and belief, TISTs enduring popularity has
13 generated tens of millions of dollars in revenue in the thirty years since its original
14 theatrical release.
15 The Terms of the Original 1982 Production Agreement
16 23. The Agreement was drafted in several sections, including an eleven-
17 page letter agreement with details of overall rights, personal services, and
18 compensation; a one-page Exhibit A Instrument of Transfer; a 48-page Exhibit B
19 Standard Terms and Conditions, a fourteen-page Exhibit 1 to Exhibit B Formula
20 for Computing Net Receipts, and a four-page Exhibit 2, Standard Delivery Items.
21 The Agreement is signed by Guest as President of STP, and includes Inducement
22 Letters on behalf of their personal services corporations from Shearer (on behalf of
23 Century of Progress Productions), Reiner (on behalf of Rob Reiner Productions),
24 Guest (on behalf of himself), and McKean (on behalf of United Heathen).
25 24. Paragraph 12 of the Agreement acknowledges that STP "is entirely
26 owned by Rob Reiner Productions, United Heathen, Century of Progress
27 Productions and Christopher Guest."
28
6
COMPLAINT AND DEMAND FOR JURY TRIAL
Case 2:16-cv-07733 Document 1 Filed 10/17/16 Page 7 of 17 Page ID #:7

1 25. The Agreement includes identification of the creative teams services


2 as screenwriters and actors, and in the case of Reiner, additional directorial duties.
3 26. The Agreement specified various sums of fixed compensation for the
4 creative team, as well as contingent compensation calling for a split of Net Receipts
5 60% to Embassy and 40% to STP ( 4a and 4b).
6 27. Under the Agreement, Embassy promises, inter alia, to send Earnings
7 Statements to STP showing the calculation of Net Receipts, first on a monthly,
8 then quarterly, and after approximately three years, on an annual basis. But Vivendi,
9 Embassy's successor-in-interest, has breached and continues to breach these
10 promises.
11 Defendants' Acquisition of the Rights and Obligations in TIST,
12 and Fraudulent Accounting

13 28. The catalog of Embassy, including unsuccessful films "bundled" with


14 TIST, was acquired several times in a succession of transactions including sales to
15 the Coca Cola Company, Parafrance, a subsidiary of LOreal and the DeLaurentiis
16 Entertainment Group, Inc. In or around 1989, predecessors of Vivendi's subsidiaries
17 acquired pertinent TIST rights.
18 29. Vivendi is responsible for accounting under the Agreement. Some
19 profit participation statements were historically submitted to STP, c/o Creative
20 Artists Agency ("CAA"), Reiners agent. Those profit participation statements,
21 Plaintiff has recently discovered, reflect anti-competitive and unfair business
22 practices in their cross-collateralization of revenues between different Vivendi
23 subsidiaries; unfairly bundle and cross-collateralized unsuccessful films in the
24 Embassy catalogue with TIST; were not delivered to other creators; and
25 fraudulently underreported the revenues owed to Plaintiff and other members of
26 STP. Over the last two years, Vivendi and Canal have failed to account at all on
27 TIST revenues.
28
7
COMPLAINT AND DEMAND FOR JURY TRIAL
Case 2:16-cv-07733 Document 1 Filed 10/17/16 Page 8 of 17 Page ID #:8

1 30. Revenue streams arising from the film, including sound recordings and
2 music publishing, were also included in the Agreement. The soundtrack music
3 rights are now claimed by entities including another subsidiary of Vivendi, the
4 Universal Music Group, which has an obligation to report and pay Canal, which in
5 turn has an obligation to report and pay Plaintiff pursuant to Defendants' accounting
6 obligations. The accounting between the Vivendi subsidiaries is not at arm's-length,
7 is anti-competitive, and deprives the TIST creators of a fair reward for their services.
8 Particularly given that Vivendi has offset fraudulent accounting for revenues from
9 music copyrights against equally dubious revenue streams for film and
10 merchandising rights also controlled by Vivendi subsidiaries, Shearer is concurrently
11 filing notices of copyright termination for publishing and recording rights in Spinal
12 Tap songs he co-wrote and co-recorded, as well as in the film itself.
13 Plaintiff Investigates Defendants' Accounting and
14 Discovers their Fraudulent Conduct

15 31. In 2013, in anticipation of TIST's upcoming 30th Anniversary in 2014,


16 Plaintiff commissioned a study of the accounting statements and revenue streams
17 associated with TIST. Plaintiff learned the results of that study in or around
18 November 2013.
19 32. Plaintiff then first discovered that Vivendi had engaged in a pattern of
20 anti-competitive and unfair business practices, had abandoned enforcement of
21 valuable TIST rights, and had willfully concealed and manipulated years of
22 accountings to retain monies due and owing to Plaintiff.
23 33. Examples of Defendants willful misconduct designed to deprive
24 Plaintiff of the benefit of the promises made in the Agreement include but are not
25 limited to:
26
failure to remit statements and accountings, with gaps occurring in
27 years that would have enhanced revenue;
28
8
COMPLAINT AND DEMAND FOR JURY TRIAL
Case 2:16-cv-07733 Document 1 Filed 10/17/16 Page 9 of 17 Page ID #:9

1 improper expense deductions;


2
failure to account for monies received, including a 2004 settlement
3 payment received from MGM Home Video totaling over $1.6 million
dollars for underreported VHS and DVD revenues, when statements
4
for the year 2004 were never submitted to Plaintiff by Defendants;
5
undocumented marketing and promotion expenses allegedly incurred
6 years after release totaling over $2.5 million dollars;
7
undocumented charges to "Freight and other Direct Costs" totaling
8 over $500,000 over several years, allegedly incurred almost twenty
9 years after the films initial release;

10 failure to account for monies under the terms of the Agreement as


"actually received by Embassy in the United States";
11
12 failure to collect revenue on merchandise and for use of material
protected by Spinal Tap trademarks and copyrights.
13
14 34. Ron Halpern, during his management of the exploitation of TIST,
15 repeatedly assured TIST's manager at the time, Harriet Steinberg, that he and his
16 staff were fully complying with the underlying Agreement, were providing accurate
17 and reliable accountings to CPP, and were using all available means to promote
18 Spinal Tap assets and enforce Spinal Tap intellectual property to maximize revenue
19 for the Spinal Tap creators. These statements were made directly to Ms. Steinberg,
20 as well as to Harry Shearer. Plaintiff reasonably relied on these assurances from
21 Mr. Halpern. But the statements by Ron Halpern were knowingly false when made.
22 Despite Plaintiff's reasonable diligence, Plaintiff was unaware until in or around
23 November 2013 that Mr. Halpern, Vivendi and its subsidiaries had intentionally
24 engaged in an extended and outrageous pattern of fraud and misconduct.
25 35. In advance of the theatrical re-release of the film in 2000, managed
26 for Canal by Ron Halpern, Mr. Shearer was asked to fly to London to meet with
27 Halpern. During that meeting, a luncheon at the Groucho Club, Mr. Halpern
28 informed Mr. Shearer that, in accord with Mr. Shearer's preferences to support
9
COMPLAINT AND DEMAND FOR JURY TRIAL
Case 2:16-cv-07733 Document 1 Filed 10/17/16 Page 10 of 17 Page ID #:10

1 "indies" independent, creative, entrepreneurial companies, the United Kingdom


2 re-release rights were being assigned to a small "boutique" distributor, who would
3 welcome Shearer's personal involvement in marketing and advertising advice for
4 the re-release. Mr. Shearer responded by sharing ideas with Halpern at that meeting.
5 When Shearer returned to Los Angeles, he learned that in fact the United Kingdom
6 distributor was not an independent "boutique," but a subsidiary of Metro-Goldwyn-
7 Mayer. Mr. Shearer knew then that Ron Halpern was mendacious. But Shearer
8 never imagined, until his review of a report in or around November 2013, that
9 Halpern was capable of the level of deception and willingness to subvert
10 contractual obligations that characterized Halpern's mistreatment of This Is Spinal
11 Tap's creators.
12 36. On information and belief, the conduct described here, including
13 financial accounting, intellectual property and legal policies and practices of Canal
14 and Universal Music Group, as well as the personal practices of Ron Halpern, are
15 controlled and directed by Vivendi. Canal, Universal Music Group and Ron Halpern
16 are both ostensible and actual agents for Vivendi, and Vivendi has liability for the
17 acts of each of these agents.
18 The SPINAL TAP Trademark
19 37. In 1984, Defendants' predecessor, Embassy, filed a trademark
20 application with the United States Patent and Trademark Office (USPTO) for the
21 mark SPINAL TAP. The federal registration for that mark was cancelled by the
22 USPTO in 1991. In early 2000, Defendants' predecessors filed certain other federal
23 trademark registration applications with the USPTO for the mark SPINAL TAP as
24 shown in Exhibit 1 hereto. In or about March 2002, as shown in Exhibit 2 hereto,
25 the rights to those marks were conveyed to Defendant StudioCanal Image, a
26 Vivendi subsidiary, who is still identified by the USPTO as the last listed owner
27 for those federal registrations.
28
10
COMPLAINT AND DEMAND FOR JURY TRIAL
Case 2:16-cv-07733 Document 1 Filed 10/17/16 Page 11 of 17 Page ID #:11

1 38. Defendants subsequently abandoned, with no intent to resume, all rights


2 to the SPINAL TAP marks, and the federal registrations for those marks were
3 cancelled by the USPTO in 2011 and 2012 as shown in Exhibit 1 hereto. As
4 additional evidence of such abandonment, Defendants did not oppose a trademark
5 application filed on December 27, 2013 by Heretic Brewing Company to register
6 the mark SPINAL TAP in connection with "beer" products, and that mark was
7 registered by the USPTO on April 7, 2015 as shown in Exhibit 3 hereto.
8 39. Because the SPINAL TAP marks have been abandoned by Defendants,
9 CPP has filed applications for federal registrations of the marks SPINAL TAP and
10 DEREK SMALLS as set forth in Exhibits 4 through 7 hereto.
11 COUNT I
12 Breach of Contract
13 (Against Vivendi and Canal)
14 40. Plaintiff repeats and realleges the allegations set forth in Paragraphs
15 1 through 39 above, as if fully set forth herein.
16 41. Defendants Vivendi and Canal, through their predecessor-in-interest
17 Embassy entered into the May 7, 1982 Agreement with Spinal Tap Productions.
18 Plaintiff was a party to that Agreement as acknowledged in Paragraph 12 of the
19 Agreement and in the various provisions of the Agreement for Plaintiffs services,
20 which granted rights to Plaintiff including fixed, deferred and contingent
21 compensation.
22 42. At all times, Plaintiff performed its obligations under the Agreement.
23 43. Defendants have breached and are in continuing breach of their
24 obligations under the Agreement by, inter alia, engaging in anti-competitive and
25 unfair cross-collateralization between Vivendi subsidiaries; cross-collateralizing
26 unsuccessful films bundled with TIST in their accounting; failing to remit
27 accounting statements; failing to respond to enquiries and information requests;
28 failing to keep accurate records; failing to include revenues in accounting
11
COMPLAINT AND DEMAND FOR JURY TRIAL
Case 2:16-cv-07733 Document 1 Filed 10/17/16 Page 12 of 17 Page ID #:12

1 statements; claiming undocumented and false expenses as part of a fraudulent


2 scheme to deprive Plaintiff of its contractual rights; and failing to diligently exploit
3 available revenue streams.
4 44. Plaintiff has been and continues to be damaged by Defendants' illegal
5 acts in amounts to be proven at trial.
6 COUNT II
7 Breach of the Implied Covenant of Good Faith and Fair Dealing
8 (Against Vivendi and Canal)
9 45. Plaintiff repeats and realleges the allegations set forth in Paragraphs
10 1 through 44 above, as if fully set forth herein.
11 46. The 1982 Agreement, governed by California law, contains an implied
12 covenant of good faith and fair dealing. Defendants breached this implied covenant
13 by their acts, including the anti-competitive and unfair business practices among
14 Vivendi subsidiaries alleged herein.
15 47. Defendants have intentionally abused their power to frustrate Plaintiffs
16 right to receive the benefit of the bargain made in the Agreement, in a manner that
17 goes beyond mere breach of the Agreement, but as part of an intentional scheme
18 abusing Defendants discretionary power to deprive Plaintiff of the benefits
19 contemplated in the Agreement.
20 48. Plaintiff has been damaged by Defendants' wrongful conduct in
21 amounts to be proven at trial.
22 COUNT III
23 Fraud
24 (Against Vivendi, Canal and Ron Halpern)
25 49. Plaintiff repeats and realleges the allegations set forth in Paragraphs
26 1 through 48 above, as if fully set forth herein.
27 50. Defendants, by and through Rob Halpern, repeatedly made statements
28 to Plaintiffs agents that Mr. Halpern and his staff were fully complying with the
12
COMPLAINT AND DEMAND FOR JURY TRIAL
Case 2:16-cv-07733 Document 1 Filed 10/17/16 Page 13 of 17 Page ID #:13

1 underlying Agreement, were providing accurate and reliable accountings to Plaintiff,


2 and were using all available means to enforce Spinal Tap trademarks and copyrights
3 and to maximize revenue for the Spinal Tap creators. These statements were
4 knowingly false when made. Plaintiff reasonably relied on these statements.
5 51. Defendants acts constitute intentional misrepresentation, deceit, and
6 concealment of material facts known to the Defendants with the intention of
7 unlawfully depriving Plaintiff of financial consideration due under the Agreement.
8 52. As a direct result of Defendants intentional misrepresentations,
9 Plaintiff was unaware of the true facts and did not discover Defendants' fraudulent
10 accounting practices until approximately November 2013.
11 53. As a result of Defendants' fraud, Plaintiff has been damaged in amounts
12 to be proven at trial.
13 54. Defendants' conduct was willful, wanton and oppressive, designed
14 maliciously to steal from, deceive and injure Plaintiff. Plaintiff is entitled to an
15 award of punitive damages to punish and deter this conduct.
16 COUNT IV
17 For an Accounting
18 (Against Vivendi, Canal and Ron Halpern)
19 55. Plaintiff repeats and realleges the allegations set forth in Paragraphs
20 1 through 54 above, as if fully set forth herein.
21 56. Defendants were obligated to provide to Plaintiff statements accurately
22 reflecting the amount of revenues derived from the distribution and exploitation of
23 the Film and associated music and merchandise rights, and to remit to Plaintiff its
24 share of revenues.
25 57. Despite demand therefor, Defendants have failed and refused, and
26 continue to fail and refuse, to provide Plaintiff with proper and accurate
27 accountings reflecting the amount of revenues derived from the distribution and
28 exploitation of the Film and associated music and merchandise rights. Instead,
13
COMPLAINT AND DEMAND FOR JURY TRIAL
Case 2:16-cv-07733 Document 1 Filed 10/17/16 Page 14 of 17 Page ID #:14

1 Defendants have intentionally provided false and fraudulent profit participation


2 statements to Plaintiff.
3 58. The false and fraudulent profit participation statements submitted by
4 Defendants are cumulative, and entitle Plaintiff to an accurate and truthful
5 accounting showing how the current cumulative numbers were calculated.
6 59. Plaintiff is entitled to an order requiring Defendants to provide their
7 complete books and records of account in all details.
8 COUNT V
9 Declaratory Judgment of Non-Infringement, 28 U.S.C. 2201, et seq.
10 (Against Vivendi, Canal and StudioCanal Image)
11 60. Plaintiff repeats and realleges the allegations set forth in Paragraphs
12 1 through 59 above, as if fully set forth herein.
13 61. In 1984, Defendants' predecessor-in-interest Embassy filed a trademark
14 application with the United States Patent and Trademark Office (USPTO) for
15 the mark SPINAL TAP in connection with entertainment services rendered by a
16 musical group. The federal registration for that mark (Registration No. 1311537)
17 was cancelled by the USPTO in 1991 as shown in Exhibit 1 hereto.
18 62. In early 2000, Defendants' predecessor-in-interest, Canal + D.A., a
19 Vivendi subsidiary, filed certain trademark applications with the USPTO for the
20 mark SPINAL TAP in connection with, inter alia, entertainment services in the
21 nature of live musical performances by a group, videotape and film production of
22 live musical performances, and certain merchandising associated with the mark as
23 shown in Exhibit 1 hereto.
24 63. In or about March 2002, Canal + D.A. filed an instrument with the
25 USPTO stating that it had merged with Defendant StudioCanal Image, a Vivendi
26 subsidiary, and that it was conveying its rights to the applications and registrations
27 for the SPINAL TAP marks to StudioCanal Image, as shown in Exhibit 2 hereto.
28 StudioCanal Image is identified by the USPTO as the last listed owner for federal
14
COMPLAINT AND DEMAND FOR JURY TRIAL
Case 2:16-cv-07733 Document 1 Filed 10/17/16 Page 15 of 17 Page ID #:15

1 registrations for those SPINAL TAP marks, now cancelled, Registration Nos.
2 2499728, 2463576, 2867023, 2881983 and 2881984.
3 64. Defendants subsequently abandoned the SPINAL TAP marks, resulting
4 in the USPTO's cancellation of the federal registrations for those SPINAL TAP
5 marks in 2011 and 2012 as shown in Exhibit 1 hereto. Defendants' abandonment of
6 the SPINAL TAP marks is reflected by their discontinuation of use or enforcement
7 of the marks in the ordinary course of trade for at least three consecutive years
8 without intent to resume use.
9 65. Defendants' abandonment is further evidenced by the fact that
10 Defendants' did not oppose an application filed on December 27, 2013 by Heretic
11 Brewing Company to register the mark SPINAL TAP for use in connection with
12 "beer" products, which mark was registered by the USPTO on April 7, 2015
13 (Registration No. 4717603) as shown in Exhibit 3 hereto.
14 66. Despite Defendants' abandonment of any trademarks rights related to
15 This Is Spinal Tap, including in and to the mark SPINAL TAP, Defendants have
16 sought selectively to claim rights to the marks against Plaintiff and other co-creators
17 of the SPINAL TAP band, and have sought to prevent Plaintiff from performing or
18 selling merchandise in association with the marks SPINAL TAP or DERRICK
19 SMALLS unless Defendants grant a license and receive payment for such use.
20 67. Plaintiff, rejecting Defendants claim of rights, has recently filed
21 applications with the USPTO for federal registration of the marks SPINAL TAP and
22 DEREK SMALLS -- which have been assigned serial numbers 87203893,
23 87203921, 87203942, and 87203958 -- for, inter alia, entertainment services in the
24 nature of live music concerts and dramatic, comedic and musical performances and
25 for certain merchandise as set forth in Exhibits 4 through 7 hereto.
26 68. A substantial controversy exists between the parties as to whether
27 Plaintiff has the right to use and register the trademarks SPINAL TAP and DEREK
28 SMALLS in connection with entertainment performances and merchandise. The
15
COMPLAINT AND DEMAND FOR JURY TRIAL
Case 2:16-cv-07733 Document 1 Filed 10/17/16 Page 16 of 17 Page ID #:16

1 controversy has sufficient immediacy and reality to warrant the issuance of a


2 declaratory judgment. A judicial declaration is necessary and appropriate at this
3 time in order that Plaintiff may ascertain its rights and duties with respect to the
4 marks SPINAL TAP and DEREK SMALLS.
5 69. Plaintiff seeks declaratory judgment pursuant to 28 U.S.C. 2201 and
6 Federal Rule of Civil Procedure 57, confirming that Plaintiff's use of the SPINAL
7 TAP and DERREK SMALLS marks in connection with the services and goods set
8 forth in its trademark applications does not infringe any abandoned trademark rights
9 of Defendants.
10 RELIEF REQUESTED
11 WHEREFORE, Plaintiff respectfully requests that the Court enter an Order:
12 (a) Compelling Defendants to produce the original books and records of
13 account and to satisfactorily and accurately account to Plaintiff with respect to all
14 expenses and revenues for the film TIST, including associated music, merchandise
15 and other revenues, and to disgorge the monies due to Plaintiff therefrom;
16 (b) Declaring that Plaintiff's registration and use of the SPINAL TAP
17 and DEREK SMALLS marks in connection with the goods and services set forth
18 in its trademark applications do not infringe on any abandoned trademark rights of
19 Defendants;
20 (c) Awarding Plaintiff the following:
21 (i) Compensatory and punitive damages in amounts to be
22 determined at trial;
23 (ii) Costs of suit;
24 (iii) Reasonable attorneys' fees;
25 (iv) Pre- and Post-Judgment Interest as allowed by law;
26 (d) Granting such other and further relief as the Court deems just and
27 proper.
28
16
COMPLAINT AND DEMAND FOR JURY TRIAL
Case 2:16-cv-07733 Document 1 Filed 10/17/16 Page 17 of 17 Page ID #:17

1 JURY DEMAND
2 Pursuant to Rule 38 of the Federal Rules of Civil Procedure, Plaintiff

3 demands a trial by jury on all issues triable by right to a jury.


4
5 DATED: October 17, 2016 BALLARD SPAHR LLP
6
7 /s/ Peter L. Haviland
8 Peter L. Haviland

9 Attorneys for Plaintiff


Century of Progress Productions
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
17
COMPLAINT AND DEMAND FOR JURY TRIAL
Case 2:16-cv-07733 Document 1-1 Filed 10/17/16 Page 1 of 12 Page ID #:18

Exhibit 1
Record List Display http://tess2.uspto.gov/bin/showfield?f=toc&state=4807:y7pnnp.1.1&p_s...
Case 2:16-cv-07733 Document 1-1 Filed 10/17/16 Page 2 of 12 Page ID #:19

United States Patent and Trademark Office

Home|Site Index|Search|FAQ|Glossary|Guides|Contacts|eBusiness|eBiz alerts|News|Help

Trademarks > Trademark Electronic Search System (TESS)

TESS was last updated on Sun Oct 16 03:21:02 EDT 2016

Please logout when you are done to release system resources allocated for you.

List to
OR
At: record:

Refine Search

Current Search: S2: (spinal tap)[COMB] docs: 9 occ: 36

Serial Number Reg. Number Word Mark Check Status Live/Dead


1 86153254 4717603 SPINAL TAP TSDR LIVE
2 75901453 2881984 SPINAL TAP TSDR DEAD
3 75901452 2881983 SPINAL TAP TSDR DEAD
4 75901451 2867023 SPINAL TAP TSDR DEAD
5 75901450 SPINAL TAP TSDR DEAD
6 75901050 2463576 SPINAL TAP TSDR DEAD
7 75899936 2499728 SPINAL TAP TSDR DEAD
8 75133759 2179143 SPINAL TAP TSDR DEAD
9 73467131 1311537 SPINAL TAP TSDR DEAD

| .HOME | SITE INDEX| SEARCH | eBUSINESS | HELP | PRIVACY POLICY

10/16/2016
Trademark Electronic Search System (TESS) http://tess2.uspto.gov/bin/showfield?f=doc&state=4807:y7pnnp.2.1
Case 2:16-cv-07733 Document 1-1 Filed 10/17/16 Page 3 of 12 Page ID #:20
United States Patent and Trademark Office

Home|Site Index|Search|FAQ|Glossary|Guides|Contacts|eBusiness|eBiz alerts|News|Help

Trademarks > Trademark Electronic Search System (TESS)

TESS was last updated on Sun Oct 16 03:21:02 EDT 2016

Please logout when you are done to release system resources allocated for you.

List At: OR to record: Record 1 out of 9

( Use the "Back" button of the Internet Browser to return to TESS)

Word Mark SPINAL TAP


Goods and Services IC 032. US 045 046 048. G & S: Beer. FIRST USE: 20141115. FIRST USE IN COMMERCE: 20141120
Standard Characters Claimed
Mark Drawing Code (4) STANDARD CHARACTER MARK
Serial Number 86153254
Filing Date December 27, 2013
Current Basis 1A
Original Filing Basis 1B
Published for Opposition May 6, 2014
Registration Number 4717603
Registration Date April 7, 2015
Owner (REGISTRANT) Heretic Brewing Company CORPORATION CALIFORNIA 6617 Capwell Way Elk Grove CALIFORNIA 95757
Attorney of Record Candace L. Moon
Type of Mark TRADEMARK
Register PRINCIPAL
Live/Dead Indicator LIVE

| .HOME | SITE INDEX| SEARCH | eBUSINESS | HELP | PRIVACY POLICY

10/16/2016
Trademark Electronic Search System (TESS) http://tess2.uspto.gov/bin/showfield?f=doc&state=4807:y7pnnp.2.2
Case 2:16-cv-07733 Document 1-1 Filed 10/17/16 Page 4 of 12 Page ID #:21
United States Patent and Trademark Office

Home|Site Index|Search|FAQ|Glossary|Guides|Contacts|eBusiness|eBiz alerts|News|Help

Trademarks > Trademark Electronic Search System (TESS)

TESS was last updated on Sun Oct 16 03:21:02 EDT 2016

Please logout when you are done to release system resources allocated for you.

List At: OR to record: Record 2 out of 9

( Use the "Back" button of the Internet Browser to return to TESS)

Word Mark SPINAL TAP


Goods and (CANCELLED) IC 028. US 022 023 038 050. G & S: Toys, sporting goods, games and playthings, namely, action figures and accessories therefor; plush
Services toys; balloons, ride-on toys; equipment sold as a unit for playing card games; toy vehicles; dolls; flying discs; hand-held unit for playing electronic games;
game equipment sold as a unit for playing a board game, a card game, a manipulative game, a parlor game, a parlor-type computer game, an
action-type target game; stand-alone video output game machines; jigsaw and manipulative puzzles; paper face masks; skateboards; ice skates; water
squirting toys; balls - namely, playground balls, soccer balls, baseballs, basketballs; baseball gloves; swimming floats for recreational use; kickboard
flotation devices for recreational use; surf boards; swim boards for recreational use; swim fins; toy zip guns; toy banks; and Christmas tree ornaments.
FIRST USE: 20000900. FIRST USE IN COMMERCE: 20000900
Mark Drawing
(1) TYPED DRAWING
Code
Serial Number 75901453
Filing Date January 21, 2000
Current Basis 1A
Original Filing
1B
Basis
Published for
April 3, 2001
Opposition
Registration
2881984
Number
Registration
September 7, 2004
Date
Owner (REGISTRANT) STUDIOCANAL IMAGE JOINT STOCK COMPANY FRANCE 5-13 BOULEVARD DE LA REPUBLIQE BOULOGNE-BILLANCOURT
FRANCE 92100
Assignment
ASSIGNMENT RECORDED
Recorded
Attorney of
James R. Guerette
Record
Type of Mark TRADEMARK
Register PRINCIPAL
Live/Dead
DEAD
Indicator
Cancellation
April 8, 2011
Date

| .HOME | SITE INDEX| SEARCH | eBUSINESS | HELP | PRIVACY POLICY

10/16/2016
Trademark Electronic Search System (TESS) http://tess2.uspto.gov/bin/showfield?f=doc&state=4807:y7pnnp.2.3
Case 2:16-cv-07733 Document 1-1 Filed 10/17/16 Page 5 of 12 Page ID #:22
United States Patent and Trademark Office

Home|Site Index|Search|FAQ|Glossary|Guides|Contacts|eBusiness|eBiz alerts|News|Help

Trademarks > Trademark Electronic Search System (TESS)

TESS was last updated on Sun Oct 16 03:21:02 EDT 2016

Please logout when you are done to release system resources allocated for you.

List At: OR to record: Record 3 out of 9

( Use the "Back" button of the Internet Browser to return to TESS)

Word Mark SPINAL TAP


Goods and (CANCELLED) IC 025. US 022 039. G & S: Clothing for men, women and children - namely, shirts, t-shirts, sweatshirts, trousers, jeans, shorts, tank
Services tops, rainwear, skirts, blouses, dresses, suspenders, sweaters, jackets, coats, raincoats, snow suits, ties, robes, hats, caps, sunvisors, belts, scarves,
sleep wear, pajamas, lingerie, underwear, boots, shoes, sneakers, sandals, booties, slipper socks, swimwear, costumes, and masks. FIRST USE:
20000900. FIRST USE IN COMMERCE: 20000900
Mark Drawing
(1) TYPED DRAWING
Code
Serial Number 75901452
Filing Date January 21, 2000
Current Basis 1A
Original Filing
1B
Basis
Published for
June 12, 2001
Opposition
Registration
2881983
Number
Registration
September 7, 2004
Date
Owner (REGISTRANT) STUDIOCANAL IMAGE JOINT STOCK COMPANY FRANCE 5-13 BOULEVARD DE LA REPUBLIQUE BOULOGNE-BILLANCOURT
FRANCE 92100
Assignment
ASSIGNMENT RECORDED
Recorded
Attorney of
James R. Guerette
Record
Type of Mark TRADEMARK
Register PRINCIPAL
Live/Dead
DEAD
Indicator
Cancellation
April 8, 2011
Date

| .HOME | SITE INDEX| SEARCH | eBUSINESS | HELP | PRIVACY POLICY

10/16/2016
Trademark Electronic Search System (TESS) http://tess2.uspto.gov/bin/showfield?f=doc&state=4807:y7pnnp.2.4
Case 2:16-cv-07733 Document 1-1 Filed 10/17/16 Page 6 of 12 Page ID #:23
United States Patent and Trademark Office

Home|Site Index|Search|FAQ|Glossary|Guides|Contacts|eBusiness|eBiz alerts|News|Help

Trademarks > Trademark Electronic Search System (TESS)

TESS was last updated on Sun Oct 16 03:21:02 EDT 2016

Please logout when you are done to release system resources allocated for you.

List At: OR to record: Record 4 out of 9

( Use the "Back" button of the Internet Browser to return to TESS)

Word Mark SPINAL TAP


Goods and (CANCELLED) IC 016. US 002 005 022 023 029 037 038 050. G & S: Printed matter and paper goods, namely a series of fiction and non-fiction books
Services featuring characters from comedy and/or drama features, comic books, children's books, magazines featuring characters from comedy and/or drama
features, coloring books, children's activity books; posters; stationery, writing paper, envelopes, notebooks, diaries, note cards, greeting cards, trading
cards; lithographs; pens, pencils, pencil cases, erasers, crayons, markers, colored pencils, painting sets, chalk and chalkboards for home use; decals,
heat transfer paper; mounted and/or unmounted photographs; book covers, bookmarks, calendars, gift wrapping paper; paper party favors, namely
noisemakers and small toys; paper party decorations, namely paper napkins, paper doilies, paper place mats, crepe paper, paper hats, invitations, paper
table cloths, paper cake decorations; printed iron-on transfers for embroidery or fabric appliques; printed patterns for costumes, pajamas, sweatshirts
and t-shirts; paper photo frames. FIRST USE: 20000900. FIRST USE IN COMMERCE: 20000900
Mark Drawing
(1) TYPED DRAWING
Code
Serial
75901451
Number
Filing Date January 21, 2000
Current Basis 1A
Original
1B
Filing Basis
Published for
April 3, 2001
Opposition
Registration
2867023
Number
Registration
July 27, 2004
Date
Owner (REGISTRANT) STUDIOCANAL IMAGE JOINT STOCK COMPANY FRANCE 5-13 BOULEVARD DE LA REPUBLIQUE BOULOGNE-BILLANCOURT
FRANCE 92100
Assignment
ASSIGNMENT RECORDED
Recorded
Attorney of
James R. Guerette
Record
Type of Mark TRADEMARK
Register PRINCIPAL
Live/Dead
DEAD
Indicator
Cancellation
March 4, 2011
Date

| .HOME | SITE INDEX| SEARCH | eBUSINESS | HELP | PRIVACY POLICY

10/16/2016
Trademark Electronic Search System (TESS) http://tess2.uspto.gov/bin/showfield?f=doc&state=4807:y7pnnp.2.5
Case 2:16-cv-07733 Document 1-1 Filed 10/17/16 Page 7 of 12 Page ID #:24
United States Patent and Trademark Office

Home|Site Index|Search|FAQ|Glossary|Guides|Contacts|eBusiness|eBiz alerts|News|Help

Trademarks > Trademark Electronic Search System (TESS)

TESS was last updated on Sun Oct 16 03:21:02 EDT 2016

Please logout when you are done to release system resources allocated for you.

List At: OR to record: Record 5 out of 9

( Use the "Back" button of the Internet Browser to return to TESS)

Word Mark SPINAL TAP


Goods and (ABANDONED) IC 009. US 021 023 026 036 038. G & S: Stereo headphones; batteries; cordless telephones; hand-held calculators; audio cassette
Services and CD players; CD-ROM games; telephone and radio pagers; short motion picture pre-recorded video film cassettes featuring comedy and/or drama
to be used with hand-held viewers or projectors; video cassette recorders and players, compact disc players, digital audio tape recorders and players,
electronic diaries; radios; mouse pads; eyeglasses, sunglasses and cases therefor; computer programs - namely, software linking digitized video and
audio media to a global computer information network; video and computer game programs; video game cartridges and cassettes; and decorative
magnets
Mark Drawing
(1) TYPED DRAWING
Code
Serial Number 75901450
Filing Date January 21, 2000
Current Basis 1B
Original Filing
1B
Basis
Published for
September 4, 2001
Opposition
Owner (APPLICANT) Canal + D.A. CORPORATION FRANCE 6 Boulevard de la Republique Boulogne Billancourt FRANCE 92514
Assignment
ASSIGNMENT RECORDED
Recorded
Attorney of
James R. Guerette
Record
Type of Mark TRADEMARK
Register PRINCIPAL
Live/Dead
DEAD
Indicator
Abandonment
November 28, 2004
Date

| .HOME | SITE INDEX| SEARCH | eBUSINESS | HELP | PRIVACY POLICY

10/16/2016
Trademark Electronic Search System (TESS) http://tess2.uspto.gov/bin/showfield?f=doc&state=4807:y7pnnp.2.6
Case 2:16-cv-07733 Document 1-1 Filed 10/17/16 Page 8 of 12 Page ID #:25
United States Patent and Trademark Office

Home|Site Index|Search|FAQ|Glossary|Guides|Contacts|eBusiness|eBiz alerts|News|Help

Trademarks > Trademark Electronic Search System (TESS)

TESS was last updated on Sun Oct 16 03:21:02 EDT 2016

Please logout when you are done to release system resources allocated for you.

List At: OR to record: Record 6 out of 9

( Use the "Back" button of the Internet Browser to return to TESS)

Word Mark SPINAL TAP


Goods and (CANCELLED) IC 009. US 021 023 026 036 038. G & S: series of motion picture films featuring comedy and/or drama, for both theatrical release and
Services home video release and for broadcast on television; music video recordings; a series of pre-recorded phonograph records, compact discs, audio
tapes, audio-video cassette tapes, and audio-video compact discs, all featuring music. FIRST USE: 19840331. FIRST USE IN COMMERCE:
19840331
Mark Drawing
(1) TYPED DRAWING
Code
Serial Number 75901050
Filing Date January 21, 2000
Current Basis 1A
Original Filing
1A
Basis
Published for
April 3, 2001
Opposition
Registration
2463576
Number
Registration
June 26, 2001
Date
Owner (REGISTRANT) Canal + D.A. CORPORATION FRANCE 6 Boulevard de la Republique Boulogne Billancourt FRANCE 92514

(LAST LISTED OWNER) STUDIOCANAL IMAGE JOINT STOCK COMPANY FRANCE 1, place du Spectacle 92130 Issy-les-Moulineaux FRANCE
Assignment
ASSIGNMENT RECORDED
Recorded
Attorney of
Colleen Parker
Record
Type of Mark TRADEMARK
Register PRINCIPAL
Affidavit Text SECT 15. SECT 8 (6-YR).
Live/Dead
DEAD
Indicator
Cancellation
January 27, 2012
Date

| .HOME | SITE INDEX| SEARCH | eBUSINESS | HELP | PRIVACY POLICY

10/16/2016
Trademark Electronic Search System (TESS) http://tess2.uspto.gov/bin/showfield?f=doc&state=4807:y7pnnp.2.6
Case 2:16-cv-07733 Document 1-1 Filed 10/17/16 Page 9 of 12 Page ID #:26
United States Patent and Trademark Office

Home|Site Index|Search|FAQ|Glossary|Guides|Contacts|eBusiness|eBiz alerts|News|Help

Trademarks > Trademark Electronic Search System (TESS)

TESS was last updated on Sun Oct 16 03:21:02 EDT 2016

Please logout when you are done to release system resources allocated for you.

List At: OR to record: Record 6 out of 9

( Use the "Back" button of the Internet Browser to return to TESS)

Word Mark SPINAL TAP


Goods and (CANCELLED) IC 009. US 021 023 026 036 038. G & S: series of motion picture films featuring comedy and/or drama, for both theatrical release and
Services home video release and for broadcast on television; music video recordings; a series of pre-recorded phonograph records, compact discs, audio
tapes, audio-video cassette tapes, and audio-video compact discs, all featuring music. FIRST USE: 19840331. FIRST USE IN COMMERCE:
19840331
Mark Drawing
(1) TYPED DRAWING
Code
Serial Number 75901050
Filing Date January 21, 2000
Current Basis 1A
Original Filing
1A
Basis
Published for
April 3, 2001
Opposition
Registration
2463576
Number
Registration
June 26, 2001
Date
Owner (REGISTRANT) Canal + D.A. CORPORATION FRANCE 6 Boulevard de la Republique Boulogne Billancourt FRANCE 92514

(LAST LISTED OWNER) STUDIOCANAL IMAGE JOINT STOCK COMPANY FRANCE 1, place du Spectacle 92130 Issy-les-Moulineaux FRANCE
Assignment
ASSIGNMENT RECORDED
Recorded
Attorney of
Colleen Parker
Record
Type of Mark TRADEMARK
Register PRINCIPAL
Affidavit Text SECT 15. SECT 8 (6-YR).
Live/Dead
DEAD
Indicator
Cancellation
January 27, 2012
Date

| .HOME | SITE INDEX| SEARCH | eBUSINESS | HELP | PRIVACY POLICY

10/16/2016
Trademark Electronic Search System (TESS) http://tess2.uspto.gov/bin/showfield?f=doc&state=4807:y7pnnp.2.7
Case 2:16-cv-07733 Document 1-1 Filed 10/17/16 Page 10 of 12 Page ID #:27
United States Patent and Trademark Office

Home|Site Index|Search|FAQ|Glossary|Guides|Contacts|eBusiness|eBiz alerts|News|Help

Trademarks > Trademark Electronic Search System (TESS)

TESS was last updated on Sun Oct 16 03:21:02 EDT 2016

Please logout when you are done to release system resources allocated for you.

List At: OR to record: Record 7 out of 9

( Use the "Back" button of the Internet Browser to return to TESS)

Word Mark SPINAL TAP


Goods and (CANCELLED) IC 041. US 100 101 107. G & S: ENTERTAINMENT SERVICES IN THE NATURE OF LIVE MUSICAL PERFORMANCES BY A
Services GROUP; VIDEOTAPE AND FILM PRODUCTION OF LIVE MUSICAL PERFORMANCES. FIRST USE: 19830808. FIRST USE IN COMMERCE:
19831021
Mark Drawing
(1) TYPED DRAWING
Code
Serial Number 75899936
Filing Date January 21, 2000
Current Basis 1A
Original Filing
1A
Basis
Published for
July 31, 2001
Opposition
Registration
2499728
Number
Registration Date October 23, 2001
Owner (REGISTRANT) Canal + D.A. CORPORATION FRANCE 6 Boulevard de la Republique Boulogne Billancourt FRANCE 92514

(LAST LISTED OWNER) STUDIOCANAL IMAGE JOINT STOCK COMPANY FRANCE 1, place du Spectacle Issy-les-Moulineaux FRANCE 92130
Assignment
ASSIGNMENT RECORDED
Recorded
Attorney of
Colleen Parker
Record
Type of Mark SERVICE MARK
Register PRINCIPAL
Affidavit Text SECT 15. SECT 8 (6-YR).
Live/Dead
DEAD
Indicator
Cancellation Date May 25, 2012

| .HOME | SITE INDEX| SEARCH | eBUSINESS | HELP | PRIVACY POLICY

10/16/2016
Trademark Electronic Search System (TESS) http://tess2.uspto.gov/bin/showfield?f=doc&state=4807:y7pnnp.2.8
Case 2:16-cv-07733 Document 1-1 Filed 10/17/16 Page 11 of 12 Page ID #:28
United States Patent and Trademark Office

Home|Site Index|Search|FAQ|Glossary|Guides|Contacts|eBusiness|eBiz alerts|News|Help

Trademarks > Trademark Electronic Search System (TESS)

TESS was last updated on Sun Oct 16 03:21:02 EDT 2016

Please logout when you are done to release system resources allocated for you.

List At: OR to record: Record 8 out of 9

( Use the "Back" button of the Internet Browser to return to TESS)

Word Mark SPINAL TAP


Goods and Services (CANCELLED) IC 009. US 021 023 026 036 038. G & S: sunglasses. FIRST USE: 19970600. FIRST USE IN COMMERCE: 19970600
Mark Drawing Code (1) TYPED DRAWING
Serial Number 75133759
Filing Date July 15, 1996
Current Basis 1A
Original Filing Basis 1B
Published for
July 15, 1997
Opposition
Registration Number 2179143
Registration Date August 4, 1998
Owner (REGISTRANT) BAUSCH & LOMB INCORPORATED CORPORATION NEW YORK One Bausch & Lomb Place Rochester NEW YORK
146042701
Assignment Recorded ASSIGNMENT RECORDED
Attorney of Record JAMES R. GUERETTE
Type of Mark TRADEMARK
Register PRINCIPAL
Live/Dead Indicator DEAD
Cancellation Date July 14, 2003

| .HOME | SITE INDEX| SEARCH | eBUSINESS | HELP | PRIVACY POLICY

10/16/2016
Trademark Electronic Search System (TESS) http://tess2.uspto.gov/bin/showfield?f=doc&state=4807:y7pnnp.2.9
Case 2:16-cv-07733 Document 1-1 Filed 10/17/16 Page 12 of 12 Page ID #:29
United States Patent and Trademark Office

Home|Site Index|Search|FAQ|Glossary|Guides|Contacts|eBusiness|eBiz alerts|News|Help

Trademarks > Trademark Electronic Search System (TESS)

TESS was last updated on Sun Oct 16 03:21:02 EDT 2016

Please logout when you are done to release system resources allocated for you.

List At: OR to record: Record 9 out of 9

( Use the "Back" button of the Internet Browser to return to TESS)

Word Mark SPINAL TAP


Goods and Services (CANCELLED) IC 041. US 107. G & S: Entertainment Services Rendered by a Musical Group. FIRST USE: 19830808. FIRST USE IN
COMMERCE: 19831021
Mark Drawing Code (1) TYPED DRAWING
Serial Number 73467131
Filing Date February 24, 1984
Current Basis 1A
Original Filing Basis 1A
Published for
October 16, 1984
Opposition
Registration
1311537
Number
Registration Date December 25, 1984
Owner (REGISTRANT) Embassy Pictures Joint venture composed of Lear Pictures, Inc.; Perenchio Pictures, Inc. (California corporations) JOINT
VENTURE Suite 666 1901 Avenue of the Stars Los Angeles CALIFORNIA 90067
Assignment
ASSIGNMENT RECORDED
Recorded
Attorney of Record E. Fulton Brylawski
Type of Mark SERVICE MARK
Register PRINCIPAL
Live/Dead Indicator DEAD
Cancellation Date April 1, 1991

| .HOME | SITE INDEX| SEARCH | eBUSINESS | HELP | PRIVACY POLICY

10/16/2016
Case 2:16-cv-07733 Document 1-2 Filed 10/17/16 Page 1 of 14 Page ID #:30

Exhibit 2
Case 2:16-cv-07733 Document 1-2 Filed 10/17/16 Page 2 of 14 Page ID #:31 '"'A .J .J ""'-""'-""
U"+ - I I - .C:::::UU.C:::::

FORM PT0-1594 RECC 1


11111111111111111 I1111111111111111111111111111111111111 U.S. DEPARTMENT OF COMMERCE
1-31-92
To the Honorable Commissioner L 102052356. .. ........ Patent and Trademark Ofiice
. .. ' document or certified com thereof.
I. Name of conveying Party(ies): 2. Name and Address of receiving Party(ies):

cA~AL + D.A. Name: STUDIOCANAL IMAGE \\\\111\\1\\ \\Ill \\lll l\11\ 11\11 \\Ill \\Ill Ill\ 1\\1

Internal Address:
[] Individual CJ Association 03-26-2002
U.S. Pant. TMOfeiTM Mall Rcpt Ot. 11&4
Street Address: 5 ~ 13 Boulevard d
D General Partnership D Limited Partnership
City: Boulogne- Country France Postal Code 92100
Billancourt
Corporation- Country-

Other joint stock comran}:' of France


D Individual(s) Citizenship
I Additiona: tarnc(.5) of conv(:ying party( ies) attached? []Yes
LJ Association
~]No
1

I
3. Nan1r e of conveyance:
LJ General Partnership
LJ Limited Partnership~ Country
CJ Assignment ~Merger
LJ Corporation-Country
[]security Agreement c:=J Change ofName
[J[J Other joint stock comran}:' of France
c:=J Other
If assignee is not domiciled in th
designation is attached c
umtc
,d S tates, a domestic. representative

Execution Date: Jul}:' 1, 2001 (Designations must be a separate 0 Yes [ ] No


document from Assignment)
Additional name(s) & address(es) attached? []Yes 0No

14. Applic ation number(s) or registration number(s): B. Trademark Registration No.(s)


A. Tradenurk Application No.(s) SEE SCHEDULE A attached
SEE SCH EDULE A attached

Additional sheet attached? IXl Yes fl No


5. Name a nd address of party to whom correspondence
concern ing this matter should be mailed: 6. Total number of applications and registrations involved: m=J
7. Total fee (37 CFR 3.41) ................... $ 440.00
Cathy J. Futrowsky, Esq.
Coudert Brothers
1627 I Street, N.W. [J[] Enclosed
Washington, DC 20006
Tel. 202-775-5100
[J[] Authorized to be charged to deposit account

39476-025 8. Deposit Account No.: 03-3370


Attorney D ocket No.
DO NOT USE THIS SPACE
9, Stateme nt and Signature.
of my knowledge and belief, the foregoing infinmation is true and correct and any attached copy is a true copy of the original
To the best
document.
Eliza beth M. Leasure
r~;.;tj~~~b.L~.~)-')L'-:x ;_ Q..u.Lu. March 26, 2002
Date
S1gnat e
Name of Person Signing
otal number of pages including cover sheet, attachments, and document:
\ Twelve (12) I
::~. ~-:. ?E'
' \i' ' )I'>.
.~e f::.l

ON 24914\vl
-~ ~!( 1 ..'
TRADEMARK
REEL: 002479 FRAME: 0737
Case 2:16-cv-07733 Document 1-2
SCHEDULE A Filed 10/17/16 Page 3 of 14 Page ID #:32

Serial No. Reg. No. Trademark

1 76/352292 THE GRADUATE


2. 76/352290 THE GRADUATE
,..,
_) 76/352289 THE GRADUATE
4. 76/352288 THE GRADUATE
5 76/352286 THE GRADUATE
6 76/352284 WOULD YOU LIKE ME TO SEDUCE YOU?
7 76/352283 WOULD YOU LIKE ME TO SEDUCE YOU?
8 76/352282 WOULD YOU LIKE ME TO SEDUCE YOU?
9. 76/352280 WOULD YOU LIKE ME TO SEDUCE YOU?
10. 76/352247 ESCAPE FROM NEW YORK
1 l. 76/352246 ESCAPE FROM NEW YORK
12. 75/901453 SPINAL TAP
13. 75/901452 SPINAL TAP
14. 75/901451 SPINAL TAP
] 5. 75/901450 SPINAL TAP
] 6. 2,463,576 SPINAL TAP
17. 2,499,728 SPINAL TAP

WASHINGTON 24916lv1

TRADEMARK
REEL: 002479 FRAME: 0738
Case 2:16-cv-07733 Document 1-2 Filed 10/17/16 Page 4 TRADEMARKS
of 14 Page ID #:33
Atty. Docket No. 39476-025

IN THE UNITED STATES PATENT AND TRADEMARK OFFICE


BEFORE THE TRADEMARK EXAMINING DNISION

In reApplication of: )
STUDIOCANAL IMAGE S.A. )
)
Application Serial No.: 76/352,292 )
)
Filing Date: December 21,2001 )
)
Mark: THE GRADUATE )

Commissioner for Trademarks


2900 Crystal Drive
Arlington, Virginia 22202-3513

DESIGNATION OF DOMESTIC REPRESENTATNE

Applicant hereby designates James R. Guerette, Esq., a member of the Bar of

the State ofNew York, ofthe firm Loeb & Loeb LLP, 345 Park Avenue, 18th Floor, New

York, New York 10154-0037, telephone number (212) 407-4861, its domestic representative

upon whom all notices or process in proceedings affecting the above identified application

may be served.

Date: March 22-- , 2002

WASHINGTON 248943vl

TRADEMARK
REEL: 002479 FRAME: 0739
~ ~ mDnigDei swm~ !m!Sllttt.
Case 2:16-cv-07733 Document do~ t1tat the empgFiled
1-2 il 1 10/17/16 Page 5 of 14 Page ID #:34
~ trmsl3!ioo mlde. in 1M f.n2lish lan~ ll1d in coofonnity
wilh ~~~laoguage, which we bae 'lisled sail
Translated from the Frenc~
----
. -~ ~
-~,4J;f.
Q;!;. L ~,

STUDIOCANAL IMAGE

. A joint stock company, with a share capital of 14,925,320


and reg1stered offices at: Espace Lumiere- 5-13, boulevard de Ia Republi ue
. . 92100 BOULOGNE BILLANCOURT q
Registered m the NANTERRE Trade & Companies Register under no. 379 745 813

On Tuesday, 6th November ofthe year two thousand and one, at 10 a.m.,

the s~are~10lders_ofthe STUDIOCANAL IMAGE Company convenes in an Extraordin


Meetmg m meetmg ~oom ELB 730 ON THE 7th floor of the registered offices, upon no~e
from the Board of Drrectors.

Each shareholder was convened by an individual letter dated 22nd October 2001.

A register of attendance was drawn up and signed by each shareholder present as he entered
the meeting, both on his personal behalf and as proxy. '

The meeting was chaired by Mr. Richard LENORMAND, Chairman of the Board of
Directors.
The STUDIOCANAL Company, represented by Mrs. Severine FLOQUET, and Mrs. Corinne
CORNUT, the two shareholders representing, both themselves and as proxies, the greatest
number of shares, and accepting this duty, was called upon to act as Scrutineer.

Mrs. Isabelle RENAUD was appointed as secretary of the meeting.

The register of attendance, certified true by the Officers, indicated that the shareholders
present, represented or having voted by absentee ballot, own 7,419,567 shares out of the
7,462,660 sh~es which constitute the share capital.

Consequently, as the meeting represented more than the quorum required by law, it was duly
constituted and empowered to vote valid decisions.
The BARBIER RINAUL T ET AUTRES Firm, co-Statutory Auditors in office, duly convened
by registered letter with return receipt on 22nd October 2001, was absent and excused.

The RSM SALUSTRO REYDEL FIRM, co-Statutory Auditors in office, duly convened by
registered letter with return receipt on 22nd October 2001, was absent and excused.

TRADUCTOR
5, rue Jean Mermoz- 75008 PARI:=
Teh~phone : 01 45 e2 50 41
Telecopieur : 01 42 25 03 7 .c.
URSSAF 410 75108 2549 'I
N' SIREl' 353 047 624 OOC13

TRADEMARK
REEL: 002479 FRAME: 0740
Case 2:16-cv-07733 Document 1-2 Filed 10/17/16 Page 6 of 14 Page ID #:35
(~~ =-:~ -~~s
~c~:"--=:;;:.,:_ .:.
Mr.. Rene GOFFIN, Merger Auditor, appointed by order of the Chief Judge Of the ~~:---
Commercial Court ofNanterre on 27th July 2001, is present.

The Chairman tables and places at the disposal of the members of the meeting:

the copy of the letters of notice sent to the shareholders,


the copy of the acknowledgment of receipt ofthe letter of notice signed by the
Statutory Auditors,
the register of attendance, the proxy forms of the shareholders represented, the
absentee ballot forms and the list of the shareholders,
a copy ofthe Company's Articles of Incorporation,
a signed copy of the merger project with its appendices,
the receipt for thefi/ing of the merger project with the Registrar of the Commercial
Court of Nan terre,
a copy of the 5 1h October 200 I issue of the legal announcement journal entitled "La
Loi" in which the notice of the merger project was published,
the reports by the Merger Auditors
the receipt for thefi/ing ofthe report by the Merger Auditors with the Registrar of the
Commercial Court of Nanterre,
the draft resolutions submitted to the meeting.

The Chainnan declares that the documt:nts and information stipulated by law and the
regulations have been sent to the shareholders and to the Statutory Auditors, or held at their
disposal in the registered offices for the period stipulated in said provisions. He also declares
that the provisions of Article 432-4, paragraph 5 of the Labour Code have been satisfied.
Lastly, he declares that the report by the Merger Auditors on the value of the assets being
brought into the company have been held at the shareholders' disposal in the registered offices
and filed with the Registrar of the Commercial Court ofNanterre at least eight days prior to
this Meeting.

The Meeting takes formal note of these statements.

The Chairman recalls that the meeting had been convened to debate on the following Agenda:

Reports by the Merger Auditors on the project of the merger, by absorption, of the
CANAL + DA Company by our company; .
Report by the Board of Directors on the project of the merger, by absorptwn, of the
CANAL + DA Company by our company t;
Approval of the merger agreement with the CANAL + DA Company;
Allocation of the merger premium,
Establishment of the finalizing of the merger and of the dissolution of the CANAL +
DA Company without liquidation .
Increase in the share capital as a result of the merger and the correlatzve amendment
of the Articles of Incorporation,
Powers for the performance offormalities.

The Chairman reads to the members present the report by the Board on the project for the
merger/absorption of the CANAL+ DA Company by our Company, then the reports by the
Merger Auditors_
TRADUCTOR
5 rue Jean Mermoz - 750.08 PARIS
' Telephone: 01 45 62 so 41
Telecopieur : 01 42 25 03 74
URSSAF 410 75108 2549 V
N' SIRET: 353 047 524 00013

TRADEMARK
REEL: 002479 FRAME: 0741
Case 2:16-cv-07733 Document 1-2 Filed 10/17/16 Page 7 of 14 Page ID #:36
.
' ~-
~

~~-/
Once these have been read, the Chairman opens the discussion.

Various comments are exchanged, and then, as no one requested leave to speak, the Chairman
put the following resolutions successively to a vote.

The Extraordinary Meeting of the Shareholders,

after having heard the report by the Board of Directors and the reports by the Merger
Auditors appointed by the Chief Judge of the Commercial Court of N anterre;

after having examined the merger agreement project signed on 25th September 2001
with the CANAL+ DA Company, a joint stock company with a share capital of
197,524,455, with registered offices at Espace Lumiere- 5-13, boulevard de Ia
Republique, in Boulogne-Billancourt (921 00), registered in the Nanterre Trade &
Companies Register under number 344 751 474, in which the CANAL+ DA
Company conveys all of its assets & liabilities to STUDIOCANAL IMAGE under a
merger agreement.

after having established that this merger project and its appendices had been approved
by the Extraordinary Meeting of the Shareholders ofthe CANAL+ DA Company,

accepts and approves all the provisions of said agreement, and consequently:

decides on the merger by absorption of the CANAL+ DA Company by the


STUDIOCANAL IMAGE Company,

decides the allotment to the shareholders of CANAL + DA of 8,230,185 fully paid-up


shares of a face value of 2 each, to be created by STUDIOCANAL IMAGE as an
increase in its capital, i.e. the sum of 16,460,370, which shares are to be allotted to
them in the proportion of 5 shares in the STUDIOCANAL IMAGE Company against
8 shares in the CANAL+ DA Company.

decides that in the event of the existence of share fractions, the shareholders of
CANAL+ DA would personally undertake to purchase or sell the necessary shares;

establishes that the difference between the net value of the assets being tran_sferred_
(FRF 2,113,232,326, or 322,160,191.29) and the ~ace value ofthe shares 1ssued m
exchange ( 16,460,370) will produce a share premiUm of 305,699,821.29 (or FRF
2,005,259,376.74).
decides to authorise the Board of Directors to allocate the merger premium as it sees
tit;
decides to establish the date of the effect of this merger retroact~vely at July 1st, 2001,
in accordance with Article L.236-4-2 of the Code ofCommerctal.

This resolution is unanimously adopted.


TRADUCTOR
5, rue Jean Mermoz- 7s008 PARIS
Telephone: 01 45 62 50 41
Telecopieur: 01 42 25 03 74
URSSAF 410 75108 2549V
N" SIAET: 353 047 624 00013

TRADEMARK
REEL: 002479 FRAME: 0742
Case 2:16-cv-07733 Document 1-2 Filed 10/17/16 Page 8 of 14 Page ID #:37

The Extraordinary Meeting of the Shareholders, after adopting the foregoing resolution and
having formally acknowledged the approval of this merger by the Extraordinary Meeting of
the Shareholders of the CANAL+ DA Company, establishes that the merger/absorption ofthe
CANAL+ DA Company had been fully carried-out and that at the end of this Shareholders
Meeting, this company will be dissolved, correlatively, without any liquidation, and the shares
created by the STUDIOCANAL IMAGE Company for the capital increase to remuneration
the assets brought in by the CANAL + DA Company will be allotted to its shareholders in the
proportions previously stated.

This resolution is unanimously adopted.

The Extraordinary Meeting of the Sharc::holders, after having formally acknowledged the
voting of the previous resolutions, establishes that the capital ofthe STUDIOCANAL
IMAGE Company had been increased by 16,460,370, at the time ofthe merger/absorption
of CANAL+ DA, to be raised from 14,925,320 to 31,385,690 by the creation of
8,230,185 fully paid-up shares of a face value of 2 each, to be granted to the shareholders of
the CANAL + DA Company.

These 8,230,185 new shares, of the same category as the former shares, will bear dividends as
of same date, and will be totally likened to the other shares composing the capital of the
STUDIOCANAL IMAGE Company.

This resolution is unanimously adopted.

The Extraordinary Meeting of the Shareholders decides, as a consequence of the capital


increase, to modify Article 6 of the Articles of Incorporation as follows:

"ARTICLE 6- SHARE CAPITAL

The share capital has been set at the sum of thirty one million three hundred and eighty five
thousand six hundred and ninety euros ( 31,385,690), divided into 15,692,845 fully paid-up
shares ofa face value of two Euros ( 2) each."

This resolution is unanimously adopted.

TRADUCTOR
5. rue Jean Mermoz- 75'::0:3 r-'ARI::
Telephone : 01 45 c._ :- -.1
Telecopieur: 01 42 25 c~ -;-~
URSSAF410751C. 25"9 J
N. SIRET: 353 047 624 OC.C 1 ~-

TRADEMARK
REEL: 002479 FRAME: 0743
Case 2:16-cv-07733 Document 1-2 Filed 10/17/16 Page 9 of 14 Page ID #:38

The Extraordinary Meeting of the Shareholders grantes full powers to the bearer of an
original, a copy or an extract of these Minutes for filing all documents, performing all
formalities and publishing all documents required.

***
This resolution is unanimously adopted.

As no items remain on the Agenda, and as no one requests leave to speak, the Chairman
adjourns the meeting.

All of the foregoing was recorded in these minutes which were read and signed by the
officers.

CERTIFIED TRUE COPY


[signature]

IRADUCT7c;?~08
M rmoz- o-v
PARIS
5, rue Jean e. 01 45 62 50 41
Telephone .. 01 42 25 03 74
1"elecDP 1 e~~io 75 , 08 2549 v
URSSA 624 ()000
l'l" SIRE.i : 353 047

TRADEMARK
REEL: 002479 FRAME: 0744
Case 33
fax e"tS odr 2:16-cv-07733
1 ?1 75 87 HZDocument 1-2 Filed 10/17/16 Page 10 of 14 Page ID #:39
STUD!OCA"AL !"AGE
l'.a rvt.~ ct. U 1 ?1 ~ 87 S5 86/82/82 16 : 48
STU! IO~L CO"~tA
151"11...-u 11. 1~

8nll,IOCANAL IMAGE

_. Soc:11tt~ .1nonyn e au c:apiUI de 14 92' 320 f;uroa


Siege M.CJil: 'F.SP8 l...umibc- 5- n Boulevard de Ia Republi ue
'nlOO fOULOGN'EBJLLANC:OURT q
379 74" 111 RCS NANfElt.R.

L'an dewc mille un.

Cheque ecrionnairw :a ete convoque ,.., let re'! indivducllc en date du 22 oc;tobre 2001.

11 a ~lC tlabli ~ne feuillc de pJ"'!Mn~ qu1 3 et~ llf'ie par ChaqUf! ec:tuo>nnaJR -p"*sent, u mument de
son entree c:n 1cance tal'lt en son nom J)el'"$1 nnel que commc mandataare.

lA seance eal pre5idee par Monsieur Rich: .,d t.ENORMAND. Preaadent du conaeil dadminiatnniun.

J~ soc:jet6 STU'DlOCAN AJ ,, r~te1 par Madame Sherine FLOQUET, .t Madame Corinne


CORN\JT, 1 deua ~~ehonnaires !'Cpt"&rtanl tant par euxmimcll que COMme man.dai&W.. tc plus
IVUld nombr de voix et &cet!fllant c:efte tc netinn, ~ont apptla c:omme KNU.tcun.

Madame laabellc kENAUD est deSllf* ommc YCCrttam: de scam:c.


La feui Ue de primc:c, certifiec CXKte .,., lea mcmbrce du 17ut"Cau. pennct de conau.ter que h:s
ac:tionnairea .,...n.nt&..
~tea ou ayar :~ vote pv onrtvqondance, P"~t aetioM
sur 1cs 1 462 660 a"ttiot\layant Je dnnt cie 1otc et c:ompeaant te c~ihll social.

~n ~unsequft4:e. l'assemblee. t'CW1iulnt p U$ que le quorum du t1ers requJa .,_, Ia lo\, at n&auhcrcment
conshtuec ct J'C'I' valablement deliberer.
Lc c;abertet BAJlBlli!K rRJNAULT T AUTRES. co-Comft'\i.ssairc auJL compta htulain,
~uliercment ~nvoque pc lcttre reconmenctee avec demande \i'avi:s de reception en date du
2l octotwe 200 t, en a.baent exc\JM.
Le cabinet RSM SALUSTRO Uvt>T 1.. (;o-Conun,surc a~JL compta titulaite, rfauhercrnent
convoque par lcttre n::~ot"Ylmandcc a"c' ci :-mande ~ ~~ de.: rec:epttoft en date du :12 octobrc 2001. m

l : li<;f

TRADEMARK
REEL: 002479 FRAME: 0745
Fax e"is Par Case 1 71 75 87 82
33 2:16-cv-07733 S TLID I1-2
Document OCANAL I "AGE
Filed 8(,/82/82
10/17/16 Page 11 1&:<18
of 14 Page ID #:40
Jl'a~t retvo de a3 1 71 ?'5 87 A S'Wf IO~L COt1Pt,_ 1~1 ..... 02 11; 1~

STV0/0 CAN_.L IMAGE


~.,.,bill ~-l'GRIIM6-ih ghl;r-ulll ~fW' IJIIaiJT a' Mti'Ptb,.. ZO()/

ablsent excuM.

Measieura Rene OOFFIN Commissairr: " Ia fusion. nommc pu ordonnance du PTesident d" Tribunal
de commerce de Nu*" en date du Z7 jl 11.-t 2001. et praena.

Le ~sident depose Nr Je bureau et met i Ia di~tion ._ ~de I'U811'mbl" ;

/a coptt! dG l'ttr"fl.f de aMWXt tion adnt:utio ... tQNUJ;ru,


'" '~pie el l't~WI dtt ~tlon I.s l~lll'el de CO"WH:Giio" d Co'""'luU<ws ara (,"'M,IU,
Ia fwlll~ tk prvl~.ncc. IG flO voir.t da actioriiHII~J neprr.si~ntb. ltu fonrtlllr~iru dll vote
par c:tH"rtUJHI"~ fit lo lw' tks actionnab'w.
"" fl)tti"'P/IIin t/a .JIGtllb " ' /r: Soci.l.
.ur aertplflin $ipe tl pr'tljel d jiwit:NI tll'ft" . - anrtUC$,
I rkqlisse drr dlp6t 1211 .,-.;11~ 7'rl"""l fl. ~"''" IN Nt~IHrn e.
pf"'IjeJ rk fwio,.,
"'" CUIIIIplt~IN tlllj(~Wrt(6/ t/'tJ""OIICICI l.lpiB "fA Lot,. Pit dDt tlu 1 oclolmt 200/ (10"'tDDIJ
pwllliclltiiM tkl'avLJ Pf'Oi .fwian.
lu rvpporu flu Carttmi..uat~ ct /o fto"
le r'k~U$te drr /Updt ,., .,.e 1'i! du Trlbtllvd d~ COIIIM.n:~ de Nant,.rre du ropport du
C{11F1,13salrcl a /a}UI#IM,
I tai#IJMJ',.gj~t aes ,C,oiutic u soum18tt~ II l'tu,blh.

~ Pritident declare qw Jea docurnanc. r t rc:ntpiCDICntJ """"' p.- lea di.lpo$ition 16plativca et
rqlementaiRs ant ete aclre "" aetao ~t~~ainl et aua Conurria&&i,.. aux compt~~ ou tenut l leur
dispoaiticm au 11ip toe:i.l pend&nr I~ deb i flu pu lerdite::a diapoaitiona. 11 cNcluc tplema~t que lcs
l.li.oaitiona ..SC l'articlc 432_.. alinfa .5 d Code &lu travaJ ont eli ,.,.c~. n dh;:lare enfin que le
rappon det Commi. .irH I .U.iGn : ur I vakur - . appwca a tt~ IIlia l Je diiP0111tion CS.a
ac:tiomulites au ti~&c -aoial ct ~ au .:ircfTe du Trib..,.l de COiiJmU"Ce de Nan terre buit joun .u
moina avant 1a pr'Rente Asllemblic.

L'aescmb~ lw donne acte oa dec~nt ona.


Le ~lident rappelle que l'auemblec nt & ,.,ellle i diliWrer SI.IT l'orclre du Jour auivanl :

""PfHI'" ~- CQI/ftm~s.sai,..k a Ia J st~ ....,. /e projrt de jiuum Pfl' absof1Jrio" d Ill .~ocUli
C~NAL+ DA ptJT '"",_ Sitte.
Ral'fX'rl thl coruU .t',.,.inutf'tltl, :sur I proj~ d~ /Wff'ft pal' Gb~ol'plirm drr ltr $tx:ilte
ClfNAL + D"' p~~r 1101n SJeM,
Approbtltto" dM trfltl. de fwitJ!'I ""'' /g .rt~eietl CA!J.4L + DA.
AJIttiOJt d' ltJ prlWI .fu.riOIC. .
Co'llttJJatloll tie 1, rt.al~tUltM tJq.,, iti~ de /Q {usitJn ~~ ~~~ kJ dlssoledton .saM l~qutdt.uton dte ta
:;octlul CAN14L+ DA.
Au~iolt du c,Ural social COI'I: it:uli~ ci lt1Jil:"~",. et motJific.otion t:fN"'YYmrvfl du statuts,
Pnuvoirt en \Ill del't:o,plwnrt 'fl dr..'ifor'Wttlltttu Upl~rr
, J6e d 1 1 du c:onseil surle proj.t de tuaion par abaorptton de
Lc Pt'Uident donne lecNre i latecmsb ..... ' : ...- .. des Commi.saire i Ia ful1on.
Ia soc:i16~ cANAL+ DA pu notre DCI~"' ;)UI .....--

Cettc: a.cture terminw. le Prlkidcnt dtclar l diiCUion ouCrte.

"l:<:ll

TRADEMARK
REEL: 002479 FRAME: 0746
Case 2:16-cv-07733 Document 1-2 Filedl"AbL
~CU~IO~A"A~ 10/17/16 Page 12 of 14 Page ID #:41
Fax retu . . : 33 l 71 7S 1'7 SS 81UI. iOGAML COPU'nl

STUDIO CANAL IMAGE


i1Wiea~rhl d' l"ti~UMblh p~ atrtiO, dlftlll,. du 6 ~IN1001

Diverset obscrvatiGIN _sont ft;...,.._, ~is Pti~Um. nc demllndant plus Ia puole, lc Praident met
sucr.::eutvement aux VOP Ia ~10Jutiotts s ttvante. :

apre ~voir cnteftdu ~ lee~ ru.J rapport clu con.eil d'administnltion et c:ln 11pp0rta dca
Commt...arn Ia fia&ton, ciMtiN~S pat MoNteur 1c ~i~l du Tribunal de commerce: de
Nantarc.

a)ri.s avoir pri1 coanai~Rncc: du rrrvjct de tni" de bion. aip J. z.s -=p&em"bh 2001 111'CC Ia
soc:i"-1 CANAL+ DA. 100iftl 11 on)'me au cap;taJ de 197 5'24 4S$ awo.. dom le &i9 et
siW &pace Lumfen 513 B ulnard de Ia tipu~Jiicplc - 9ZIOO Boulopo.9illaaco~.
immatru:ulee au repttre du comn crcc et dA soeita de Nantwre sou& lc ftumem 344 ' ' 1 474
aa term ctuquel c.ac demitrt fait ~*' i tin de futign ala .oei~ STUDIOCANAL
IMAGE de la tvtalite de 10n patn1 -.one. acrif ec pus f.

apn avoir ~0118tatt que ee projcl de fuaivn cl ~ ~n ont tc~ approuva pv l'aucmb'Ue
s6nerale acr.ordina;rc del aerianruaires de Ia ~i"e CANAL+ DA.

d6~de Ia fusion pv voic d' bworptian de Ia soc:i~ CANAL.+ DA pu' 1a aociet6


STUDIOCANAL IMAGE;
dkid.o J'aurihudon aux ac::tlonnei ~.-. . de la .uciettCAN~~ DA. de 8 Z30 115 acttons de 2 E
de valeur nom1nale clwcune. enltttwnmt I~ 1 mer ,.r la soci6ti STUDJoc:::ANAL
IMAOE l titre d'aucmcu~ation nc avn capital, .oit une IIOIIM1C ct. 10 lNG 370 1NCiitos e.
aQtionJ cScvu1t 1tre attn~ i uiton de 5 ICftoM de Ia ~if:te S1'l.JDIOCANAL IMAG~
pour B actiOtta de Ia 80CWtl6 CAN1 L+ DA ;

dmdc q\l'en .:as d'e'lieen..--e de ompus, let actonnaiRI ~ 1a ~ CANAL-+- DA feroru


leur aft'a'ft pe11G6DC!IIe de I .chat -,u de Ia vente des lttres neec:wa1 res ;
uc 1a ddf~ en-.. ta .alcw neac dD l"em apport.h (Z 113 232 :J26 F .crit
11e
;~~~~60 1~1 29 C)
et 1a valeur aominal. des tilna mit .., c:OiltNpeftia (J 6 460 370 )
dCp..,. ~ primt1 de tusion s'61.. vanti 305 699121.29 (JOlt l ~ 2.59 376,74 F);

d&ide cl'au1Dri8ef tc Cortwil d'at minietaticm l donner a Ia prime de fuSion touce afre~;tation
qu 'il ju.-. ueile ;
ciCci411 de r~cr ta .... d'eft'et .:te Ia prilentc rlalion !'t~nM~CtiVftWnl IW .... juil1ct 2001,
con~t article L. 236-4 z du Code de~~

~l:9l

TRADEMARK
REEL: 002479 FRAME: 0747
Case 2:16-cv-07733 Document
JJ 1 11 75 ~~ ez
1-2 lnAGE
STUDlOCA"AL Filed 10/17/16 Page 13 of 1416:~8
e6/eZ/ftZ Page ID
fq:#:42
S/16
ts'lt~ez 11:1 ~v: 5
ITUl lO~L CO"Pt~
Fa ~~ d. : ~a
1
71 Ts 87 56

STUDIO CINICL IMA.O


~-~ hl'lelltbl 111tirn'- xe- r~rdtffflltT du 6 JIU~ ZOO/

L ' ..semblee pnb'll.le exh'IIOrdtmtire, pr sutr. de !'adoption de Ia tc.alut*' qw ~ t apria evoiT


P"is acte de l"aytpro\JaliDCI de Ill pNMtU ' fUSIOII pw J'lt)fttnblt6e pni-nt)e -~iftair. Qc f aoc::iite
CANAL+ DA, ~te que Ia tu.ion l'&r ~ lie Ia societf CANAL+ J)A ..r cMiinitivemcnt
raliMc c:t qu l'issuc do Ia ~tt ...mbl6c c:ctre SCK;j~ ..,.. eGI'Nlac,veaMttt di-.outc -.m
hctUidatton ct .ction& oN6e1 par la ;oci6t4 STIJDlOCA.NAL IMAO' tttro d'aqmsaoGn de
capital m teW\Itation du eppcms de la too~fti CANAL+ DA Ml"'nt attribuAQ i "'aebonn.ire
dula lea proportiana ~ment ~xpo ;6a,

C!tl~ ,.bol11tlon ut aduptn ci I.,,.,.;"';' :.

L 'aHCmb16e Pn'tale eam.ordinaire. &I !W avoir pt'iJ !ICC. cl\& "'otc dell rWoluti0121 ~ln.
conarata que Je ccpte.l c.t. Ia 110eil6ti s:tJDIOCAN'AL. JMA(IB ftt auamcntt de 16 450 3'10&. i
toc:e.aaon de te fiasion par ablofptjon de Ia IOC. . . CANAL .DA. pour th porW de 14 9:U 320 a
ll 38! 690 e. par I cn.tion de I ZJO t ( 5 .ctioN '*
2 ~ de nlcur nomiiUNe dlecune. mtiaeaxnt
hbe'"a. i IIHribucr aWl ~~etionnarea de Je oe;f-ri CANAl.+ .0.\.

Ces 8 230 1U achoa$ I'IOU"IJes. de memc catesor1~ q~W le anciC'MCs. portcront Joui~ c:wnptu
de ee jour, ct ecront completem1!'11t Uli.,.,ltea awe eutwes KtivM ~ rc apt. de Ia ~
STVDIOCA.NAL lMAG'E.

L'UICftlblee atMnk exb110Rlinane, cWc;at.i!, ~ eonNqumoe ck l'"'ff**tiiUOD de c.-piW. ct.


moclifi COftAiM ulc I 'erticfe 6 ct. tlltuta :

ART!CU 6- Ct~pltlll M~Cial


Lll a,lral soelfll atf~ 4 Ia 3,..... .t. trwnrte ~t .,, millioiNI trou ""' tfiMit,...,..,l,.t ci"q 111#: 3a /.r:;elrt
pa~-lll1t6f di~ Ewi"'N (JI J.J 6i10 E), divi. ~ n I j G91 B4J ec-IIOIU d d~ Ewos (2 " ""IIUI'
'"''"1'"'1" c~tm:vM. emt~~1!Wrfllllttlre6
Ctltle ,U/Nt~tio1f ul Q~ c:t ~'"'*"'JifUi.

"l:9l

TRADEMARK
REEL: 002479 FRAME: 0748
Case 2:16-cv-07733 Document 1-2 Filed
STUD' I OCANAL 10/17/16 Page 14 of 14 Page ID #:43
H1AG

F- ... fU : J3 1 '" ?S 87 Sl

sTUDIO CANAl., IMA.G


~"'*'I tl' r~e. pnbvl atrvo rll.llaire IS"""""""' 1001
L'ow*c clw jour etazst
1evl!e.
w ee per-aonnc 1e ~c:manct.nt plua I. p.rolc, lc Prawtenc declare Ia .t.ncc

De tout c;e qw ...... it a ebl ~ le prhcnt ~Ycrbel qui, apr~s leoetu:re, ttl!
membrct du bun:au.
ti.,, PIIT le

LENORMAND

STUDIOCANAL M.Mame Corinne CORNUf


k.JHWentft pv Mad.mc 5ncrinc Fl.OQ' 1T

\~
a., ....
-

s
"" 98 SL '{;i. l8 a-p n&~.J d

TRADEMARK
RECORDED: 03/26/2002 REEL: 002479 FRAME: 0749
Case 2:16-cv-07733 Document 1-3 Filed 10/17/16 Page 1 of 4 Page ID #:44

Exhibit 3
Trademark Electronic Search System (TESS) http://tess2.uspto.gov/bin/showfield?f=doc&state=4807:y7pnnp.2.1
Case 2:16-cv-07733 Document 1-3 Filed 10/17/16 Page 2 of 4 Page ID #:45
United States Patent and Trademark Office

Home|Site Index|Search|FAQ|Glossary|Guides|Contacts|eBusiness|eBiz alerts|News|Help

Trademarks > Trademark Electronic Search System (TESS)

TESS was last updated on Sun Oct 16 03:21:02 EDT 2016

Please logout when you are done to release system resources allocated for you.

List At: OR to record: Record 1 out of 9

( Use the "Back" button of the Internet Browser to return to TESS)

Word Mark SPINAL TAP


Goods and Services IC 032. US 045 046 048. G & S: Beer. FIRST USE: 20141115. FIRST USE IN COMMERCE: 20141120
Standard Characters Claimed
Mark Drawing Code (4) STANDARD CHARACTER MARK
Serial Number 86153254
Filing Date December 27, 2013
Current Basis 1A
Original Filing Basis 1B
Published for Opposition May 6, 2014
Registration Number 4717603
Registration Date April 7, 2015
Owner (REGISTRANT) Heretic Brewing Company CORPORATION CALIFORNIA 6617 Capwell Way Elk Grove CALIFORNIA 95757
Attorney of Record Candace L. Moon
Type of Mark TRADEMARK
Register PRINCIPAL
Live/Dead Indicator LIVE

| .HOME | SITE INDEX| SEARCH | eBUSINESS | HELP | PRIVACY POLICY

10/16/2016
Case 2:16-cv-07733 Document 1-3 Filed 10/17/16 Page 3 of 4 Page ID #:46

Spinal Tap
Reg. N 0. 4, 717,603 HERETIC BREWING COMPANY (CALIFORNIA CORPORATION)
6617 CAPWELL WAY
Registered Apr. 7, 2015 ELK GROVE, cA 95757

Int. Cl.: 32 FOR: BEER, IN cLAss 32 (u.s. cLs. 45,46 AND 48).

FIRST USE 11-15-2014; IN COMMERCE 11-20-2014.


TRADEMARK
THE MARK CONSISTS OF STANDARD CHARACTERS WITHOUT CLAIM TO ANY PAR-
PRINCIPAL REGISTER TICULAR FONT, STYLE, SIZE, OR COLOR.

SN 86-153,254, FILED 12-27-2013.

CHERYL CLAYTON, EXAMINING ATTORNEY

Director of the United States


Patent and Trademark Office
Case 2:16-cv-07733 Document 1-3 Filed 10/17/16 Page 4 of 4 Page ID #:47

REQUIREMENTS TO MAINTAIN YOUR FEDERAL


TRADEMARK REGISTRATION

WARNING: YOUR REGISTRATION WILL BE CANCELLED IF YOU DO NOT FILE THE


DOCUMENTS BELOW DURING THE SPECIFIED TIME PERIODS.

Requirements in the First Ten Years*


What and When to File:

First Filing Deadline: You must file a Declaration of Use (or Excusable Nonuse) between the
5th and 6th years after the registration date. See 15 U.S.C. 1058, 1141k. If the declaration is
accepted, the registration will continue in force for the remainder of the ten-year period, calculated
from the registration date, unless cancelled by an order of the Commissioner for Trademarks or a
federal court.

Second Filing Deadline: You must file a Declaration of Use (or Excusable Nonuse) and an
Application for Renewal between the 9th and lOth years after the registration date.*
See 15 U.S.C. 1059.

Requirements in Successive Ten-Year Periods*


What and When to File:

You must file a Declaration ofU se (or Excusable Nonuse) and an Application for Renewal between
every 9th and 1Oth-year period, calculated from the registration date.*

Grace Period Filings*

The above documents will be accepted as timely if filed within six months after the deadlines listed above
with the payment of an additional fee.

*ATTENTION MADRID PROTOCOL REGISTRANTS: The holder of an international registration with


an extension of protection to the United States under the Madrid Protocol must timely file the Declarations
of Use (or Excusable Nonuse) referenced above directly with the United States Patent and Trademark Office
(USPTO). The time periods for filing are based on the U.S. registration date (not the international registration
date). The deadlines and grace periods for the Declarations of Use (or Excusable Nonuse) are identical to
those for nationally issued registrations. See 15 U.S.C. 1058, 1141k. However, owners of international
registrations do not file renewal applications at the USPTO. Instead, the holder must file a renewal of the
underlying international registration at the International Bureau of the World Intellectual Property Organization,
under Article 7 of the Madrid Protocol, before the expiration of each ten-year term of protection, calculated
from the date of the international registration. See 15 U.S. C. 1141j. For more information and renewal
forms for the international registration, see http://www.wipo.int/madrid/en/.

NOTE: Fees and requirements for maintaining registrations are subject to change. Please check the
USPTO website for further information. With the exception of renewal applications for registered
extensions of protection, you can file the registration maintenance documents referenced above online
at http://www. uspto .gov.

NOTE: A courtesy e-mail reminder ofUSPTO maintenance filing deadlines will be sent to trademark
owners/holders who authorize e-mail communication and maintain a current e-mail address with the
USPTO. To ensure that e-mail is authorized and your address is current, please use the Trademark
Electronic Application System (TEAS) Correspondence Address and Change of Owner Address Forms
available at http://www.uspto.gov.

Page: 2 I RN # 4,717,603
Case 2:16-cv-07733 Document 1-4 Filed 10/17/16 Page 1 of 5 Page ID #:48

Exhibit 4
Case 2:16-cv-07733 Document 1-4 Filed 10/17/16 Page 2 of 5 Page ID #:49

Eckenrode, Theresa (Phila)

From: TEAS@uspto.gov
Sent: Friday, October 14, 2016 3:50 PM
To: Rzonca, Lynn E. (Phila); Militello, Corinne (Phila); Eckenrode, Theresa (Phila);
phila_tmdocketing
Subject: 00200496 Serial number 87203893: Received Your Trademark/Service Mark
Application, Principal Register

1. YOUR MARK: SPINAL TAP (Standard Characters, mark.jpg)


The literal element of the mark consists of SPINAL TAP.
The mark consists of standard characters, without claim to any particular font, style, size, or color.
2. YOUR SERIAL NUMBER: We have received your U.S. Trademark Application and assigned serial
number '87203893' to your submission. A summary of your application data is provided at the bottom
of this message and serves as your official filing receipt. Please keep a copy of this information for
your records. All correspondence concerning the application should reference your assigned serial
number.

Please read all of the important information below. Not every mark is registrable with the USPTO and
we do not refund the application filing fee(s) if a registration does not ultimately issue.
3. RECEIVING E-MAIL COMMUNICATIONS/FILING DOCUMENTS ON-LINE: Because you
have authorized receipt of correspondence by e-mail, please make sure that your server will accept
USPTO e-mail and not treat it as SPAM. If you must submit correspondence to us, please use the
Trademark Electronic Application System (TEAS) forms, available at
http://www.uspto.gov/trademarks/teas/index.jsp. Applicants who filed their application online using
the lower-fee TEAS RF application form must (1) continue to submit certain documents online using
TEAS, including responses to Office actions (see
http://www.uspto.gov/trademarks/teas/required_teas_filings.jsp for a complete list of these
documents); (2) accept correspondence from the USPTO via e-mail throughout the examination
process; and (3) maintain a valid e-mail address. TEAS RF applicants who do not meet these three
requirements must submit an additional processing fee of $50 per international class of
goods/services. However, in certain situations, authorizing an examiner's amendment by telephone
will not incur this additional fee.
4. KEEP YOUR ADDRESS CURRENT IN USPTO RECORDS: We do not extend filing deadlines
due to a failure to receive USPTO mailings/e-mailings. You must update the correspondence and/or
owner's address if a postal address and/or e-mail address changes, using the form(s) available at
http://www.uspto.gov/trademarks/teas/correspondence.jsp.
5. WARNING ABOUT UNSOLICITED COMMUNICATIONS: You may receive trademark-related
communications from private companies not associated with the USPTO. These communications
frequently display customer-specific information, including your USPTO serial number or registration
number and owner name, and request fees for trademark-related services, such as monitoring, listings
in international publications, and document filing. None of the companies offering these services are
affiliated with the USPTO or any other federal agency. All official correspondence will be from the
"United States Patent and Trademark Office" in Alexandria, VA, and if by e-mail, specifically from
the domain "@uspto.gov." Please consult the "Warning" page on the Trademarks section of the
1
Case 2:16-cv-07733 Document 1-4 Filed 10/17/16 Page 3 of 5 Page ID #:50

USPTO's website for further information about unsolicited communications and to view
representative examples of them. For general information on filing and maintenance requirements for
trademark applications and registrations, including fees required by law, please consult
www.uspto.gov, contact the TrademarkAssistanceCenter@uspto.gov or telephone 1-800-786-9199.
6. LEGAL EXAMINATION PROCESS: Your application is now pending examination. In
approximately 3 months, your application will be assigned to a USPTO examining attorney for
review. The application cannot mature into a registration unless all legal requirements are met, and
many applications never satisfy these requirements and therefore never register. The overall process
can take up to 18 months.
7. CHECK STATUS AND REVIEW DOCUMENTS OR YOUR APPLICATION MAY BE
UNINTENTIONALLY ABANDONED: You must check the status and review all documents
associated with your application at least every 3-4 months using Trademark Status and Document
Retrieval (TSDR), available at http://tsdr.uspto.gov/.

Promptly e-mail the TrademarkAssistanceCenter@uspto.gov or telephone 1-800-786-9199 (select


option #1) if an Office action (letter from the USPTO) or notice has issued for your application that
you did not receive or do not understand. Failure to respond timely to any Office action or notice may
result in the abandonment of your application, requiring you to pay an additional fee to have your
application revived even if you did not receive the Office action or notice.
8. FILING ERRORS: If you discover an error in the application data, you must file a Voluntary
Amendment at http://www.uspto.gov/trademarks/teas/miscellaneous.jsp. Do not submit any proposed
amendment to TEAS@uspto.gov, because the TEAS technical support team may not make any data
changes. Please wait approximately 7 days after the filing date of your application to submit a
Voluntary Amendment in order to allow for initial upload of your application data into the USPTO
database. The assigned examining attorney will determine the acceptability of any Voluntary
Amendment during examination. Not all errors may be corrected. For example, if you submitted the
wrong mark or if the proposed correction would be considered a material alteration to your original
filing, it will not be accepted. In this situation, your only recourse would be to file a new application,
with a new fee and no refund of your original filing fee.
9. REQUEST FOR REFUND AND/OR CANCELLATION: Since your application has already been
assigned a serial number, please do not contact TEAS@uspto.gov to request a refund or to cancel the
filing. We will only cancel the filing and refund the filing fee if the application does not meet
minimum filing requirements. The fee is a processing fee that the USPTO does not refund, even if
your mark does not proceed to registration.

In the limited situation where you inadvertently filed identical applications, one immediately after the
other, because no confirmation of the first filing was received, please provide both serial numbers to
the technical support team at TEAS@uspto.gov.
10. SelectUSA: The United States represents the largest, most dynamic marketplace in the world and is
an unparalleled location for business investment, innovation, and commercialization of new
technologies. The U.S. offers tremendous resources and advantages for those who invest and
manufacture goods here. Through SelectUSA, our nation works to promote and facilitate business
investment. SelectUSA provides information assistance to the international investor community;
serves as an ombudsman for existing and potential investors; advocates on behalf of U.S. cities, states,
and regions competing for global investment; and counsels U.S. economic development organizations
on investment attraction best practices. To learn more about why the United States is the best country
in the world to develop technology, manufacture products, deliver services, and grow your business,

2
Case 2:16-cv-07733 Document 1-4 Filed 10/17/16 Page 4 of 5 Page ID #:51

visit SelectUSA.gov or call +1-202-482-6800.


SUMMARY OF APPLICATION DATA FOLLOWS:

APPLICATION DATA: You have filed a Trademark/Service Mark Application for registration on the
Principal Register using a TEAS RF application form.

The applicant, Century of Progress Productions, a personal services corporation legally organized under the
laws of California, having an address of
13801 Ventura Blvd
Sherman Oaks, California 91423
United States

requests registration of the trademark/service mark identified above in the United States Patent and
Trademark Office on the Principal Register established by the Act of July 5, 1946 (15 U.S.C. Section 1051 et
seq.), as amended, for the following:

International Class 041: Entertainment, namely, live music concerts; Entertainment in the nature of
presenting live dramatic, comedic, and musical performances; providing online non-downloadable video clips
and other multimedia materials containing audio, video, artwork, and/or text from or related to live dramatic,
comedic, and musical performances; providing a website with information concerning live dramatic,
comedic, and musical performances
Intent to Use: The applicant has a bona fide intention, and is entitled, to use the mark in commerce on or in
connection with the identified goods/services.

The applicant's current Attorney Information:


Lynn E. Rzonca and all of the firm of Ballard Spahr LLP
Ballard Spahr LLP
1735 Market Street, 51st Floor
Philadelphia, Pennsylvania 19103-7599
United States
215.864.8109(phone)
215.864.8999(fax)
rzoncal@ballardspahr.com (authorized)
The attorney docket/reference number is 00200496.
The applicant's current Correspondence Information:
Lynn E. Rzonca
Ballard Spahr LLP
1735 Market Street, 51st Floor
Philadelphia, Pennsylvania 19103-7599
215.864.8109(phone)
215.864.8999(fax)
rzoncal@ballardspahr.com;phila_tmdocketing@ballardspahr.com (authorized)
E-mail Authorization: I authorize the USPTO to send e-mail correspondence concerning the application to
the applicant or applicant's attorney at the e-mail address provided above. I understand that a valid e-mail
address must be maintained and that the applicant or the applicant's attorney must file the relevant
subsequent application-related submissions via the Trademark Electronic Application System (TEAS).
Failure to do so will result in an additional processing fee of $50 per international class of goods/services.

3
Case 2:16-cv-07733 Document 1-4 Filed 10/17/16 Page 5 of 5 Page ID #:52

A fee payment in the amount of $275 has been submitted with the application, representing payment for 1
class(es).

Declaration

The signatory believes that: if the applicant is filing the application under 15 U.S.C. 1051(a), the applicant
is the owner of the trademark/service mark sought to be registered; the applicant is using the mark in
commerce on or in connection with the goods/services in the application; the specimen(s) shows the mark as
used on or in connection with the goods/services in the application; and/or if the applicant filed an application
under 15 U.S.C. 1051(b), 1126(d), and/or 1126(e), the applicant is entitled to use the mark in
commerce; the applicant has a bona fide intention, and is entitled, to use the mark in commerce on or in
connection with the goods/services in the application. The signatory believes that to the best of the signatory's
knowledge and belief, no other persons, except, if applicable, concurrent users, have the right to use the mark
in commerce, either in the identical form or in such near resemblance as to be likely, when used on or in
connection with the goods/services of such other persons, to cause confusion or mistake, or to deceive. The
signatory being warned that willful false statements and the like are punishable by fine or imprisonment, or
both, under 18 U.S.C. 1001, and that such willful false statements and the like may jeopardize the validity
of the application or any registration resulting therefrom, declares that all statements made of his/her own
knowledge are true and all statements made on information and belief are believed to be true.

Declaration Signature

Signature: /Lynn E. Rzonca/ Date: 10/14/2016


Signatory's Name: Lynn E. Rzonca
Signatory's Position: Attorney, PA bar member

Thank you,

The TEAS support team


Fri Oct 14 15:50:08 EDT 2016
STAMP: USPTO/BAS-12.149.10.2-20161014155008760292-87203893-
570454a9abfc1d521bcde1fb343e98ba238f0cc25da4ffb16b6efaf12c115fcfd-DA-2760-
20161014133939830854

4
Case 2:16-cv-07733 Document 1-5 Filed 10/17/16 Page 1 of 5 Page ID #:53

Exhibit 5
Case 2:16-cv-07733 Document 1-5 Filed 10/17/16 Page 2 of 5 Page ID #:54

Eckenrode, Theresa (Phila)

From: TEAS@uspto.gov
Sent: Friday, October 14, 2016 4:00 PM
To: Rzonca, Lynn E. (Phila); Militello, Corinne (Phila); Eckenrode, Theresa (Phila);
phila_tmdocketing
Subject: 00200496 Serial number 87203921: Received Your Trademark/Service Mark
Application, Principal Register

1. YOUR MARK: SPINAL TAP (Standard Characters, mark.jpg)


The literal element of the mark consists of SPINAL TAP.
The mark consists of standard characters, without claim to any particular font, style, size, or color.
2. YOUR SERIAL NUMBER: We have received your U.S. Trademark Application and assigned serial
number '87203921' to your submission. A summary of your application data is provided at the bottom
of this message and serves as your official filing receipt. Please keep a copy of this information for
your records. All correspondence concerning the application should reference your assigned serial
number.

Please read all of the important information below. Not every mark is registrable with the USPTO and
we do not refund the application filing fee(s) if a registration does not ultimately issue.
3. RECEIVING E-MAIL COMMUNICATIONS/FILING DOCUMENTS ON-LINE: Because you
have authorized receipt of correspondence by e-mail, please make sure that your server will accept
USPTO e-mail and not treat it as SPAM. If you must submit correspondence to us, please use the
Trademark Electronic Application System (TEAS) forms, available at
http://www.uspto.gov/trademarks/teas/index.jsp. Applicants who filed their application online using
the lower-fee TEAS RF application form must (1) continue to submit certain documents online using
TEAS, including responses to Office actions (see
http://www.uspto.gov/trademarks/teas/required_teas_filings.jsp for a complete list of these
documents); (2) accept correspondence from the USPTO via e-mail throughout the examination
process; and (3) maintain a valid e-mail address. TEAS RF applicants who do not meet these three
requirements must submit an additional processing fee of $50 per international class of
goods/services. However, in certain situations, authorizing an examiner's amendment by telephone
will not incur this additional fee.
4. KEEP YOUR ADDRESS CURRENT IN USPTO RECORDS: We do not extend filing deadlines
due to a failure to receive USPTO mailings/e-mailings. You must update the correspondence and/or
owner's address if a postal address and/or e-mail address changes, using the form(s) available at
http://www.uspto.gov/trademarks/teas/correspondence.jsp.
5. WARNING ABOUT UNSOLICITED COMMUNICATIONS: You may receive trademark-related
communications from private companies not associated with the USPTO. These communications
frequently display customer-specific information, including your USPTO serial number or registration
number and owner name, and request fees for trademark-related services, such as monitoring, listings
in international publications, and document filing. None of the companies offering these services are
affiliated with the USPTO or any other federal agency. All official correspondence will be from the
"United States Patent and Trademark Office" in Alexandria, VA, and if by e-mail, specifically from
the domain "@uspto.gov." Please consult the "Warning" page on the Trademarks section of the
1
Case 2:16-cv-07733 Document 1-5 Filed 10/17/16 Page 3 of 5 Page ID #:55

USPTO's website for further information about unsolicited communications and to view
representative examples of them. For general information on filing and maintenance requirements for
trademark applications and registrations, including fees required by law, please consult
www.uspto.gov, contact the TrademarkAssistanceCenter@uspto.gov or telephone 1-800-786-9199.
6. LEGAL EXAMINATION PROCESS: Your application is now pending examination. In
approximately 3 months, your application will be assigned to a USPTO examining attorney for
review. The application cannot mature into a registration unless all legal requirements are met, and
many applications never satisfy these requirements and therefore never register. The overall process
can take up to 18 months.
7. CHECK STATUS AND REVIEW DOCUMENTS OR YOUR APPLICATION MAY BE
UNINTENTIONALLY ABANDONED: You must check the status and review all documents
associated with your application at least every 3-4 months using Trademark Status and Document
Retrieval (TSDR), available at http://tsdr.uspto.gov/.

Promptly e-mail the TrademarkAssistanceCenter@uspto.gov or telephone 1-800-786-9199 (select


option #1) if an Office action (letter from the USPTO) or notice has issued for your application that
you did not receive or do not understand. Failure to respond timely to any Office action or notice may
result in the abandonment of your application, requiring you to pay an additional fee to have your
application revived even if you did not receive the Office action or notice.
8. FILING ERRORS: If you discover an error in the application data, you must file a Voluntary
Amendment at http://www.uspto.gov/trademarks/teas/miscellaneous.jsp. Do not submit any proposed
amendment to TEAS@uspto.gov, because the TEAS technical support team may not make any data
changes. Please wait approximately 7 days after the filing date of your application to submit a
Voluntary Amendment in order to allow for initial upload of your application data into the USPTO
database. The assigned examining attorney will determine the acceptability of any Voluntary
Amendment during examination. Not all errors may be corrected. For example, if you submitted the
wrong mark or if the proposed correction would be considered a material alteration to your original
filing, it will not be accepted. In this situation, your only recourse would be to file a new application,
with a new fee and no refund of your original filing fee.
9. REQUEST FOR REFUND AND/OR CANCELLATION: Since your application has already been
assigned a serial number, please do not contact TEAS@uspto.gov to request a refund or to cancel the
filing. We will only cancel the filing and refund the filing fee if the application does not meet
minimum filing requirements. The fee is a processing fee that the USPTO does not refund, even if
your mark does not proceed to registration.

In the limited situation where you inadvertently filed identical applications, one immediately after the
other, because no confirmation of the first filing was received, please provide both serial numbers to
the technical support team at TEAS@uspto.gov.
10. SelectUSA: The United States represents the largest, most dynamic marketplace in the world and is
an unparalleled location for business investment, innovation, and commercialization of new
technologies. The U.S. offers tremendous resources and advantages for those who invest and
manufacture goods here. Through SelectUSA, our nation works to promote and facilitate business
investment. SelectUSA provides information assistance to the international investor community;
serves as an ombudsman for existing and potential investors; advocates on behalf of U.S. cities, states,
and regions competing for global investment; and counsels U.S. economic development organizations
on investment attraction best practices. To learn more about why the United States is the best country
in the world to develop technology, manufacture products, deliver services, and grow your business,

2
Case 2:16-cv-07733 Document 1-5 Filed 10/17/16 Page 4 of 5 Page ID #:56

visit SelectUSA.gov or call +1-202-482-6800.


SUMMARY OF APPLICATION DATA FOLLOWS:

APPLICATION DATA: You have filed a Trademark/Service Mark Application for registration on the
Principal Register using a TEAS RF application form.

The applicant, Century of Progress Productions, a personal services corporation legally organized under the
laws of California, having an address of
13801 Ventura Blvd
Sherman Oaks, California 91423
United States

requests registration of the trademark/service mark identified above in the United States Patent and
Trademark Office on the Principal Register established by the Act of July 5, 1946 (15 U.S.C. Section 1051 et
seq.), as amended, for the following:

International Class 016: Printed matter, namely, posters, calendars, souvenir books, notebooks, note
cards, temporary tattoo transfers, photographs, printed tickets, event programs, decals, stickers
Intent to Use: The applicant has a bona fide intention, and is entitled, to use the mark in commerce on or in
connection with the identified goods/services.

International Class 025: Clothing, namely, t-shirts, long-sleeved shirts, tank tops, shirts, tops, coats,
jackets, sweatshirts, pullovers, hooded pullovers, pants, shorts, jeans, sweatpants, loungewear, sleepwear,
pajamas, bathrobes, shoes, boxer shorts, boxer briefs, underwear, belts, gloves, bandanas, caps, hats
Intent to Use: The applicant has a bona fide intention, and is entitled, to use the mark in commerce on or in
connection with the identified goods/services.

The applicant's current Attorney Information:


Lynn E. Rzonca and all of the firm of Ballard Spahr LLP
Ballard Spahr LLP
1735 Market Street, 51st Floor
Philadelphia, Pennsylvania 19103-7599
United States
215.864.8109(phone)
215.864.8999(fax)
rzoncal@ballardspahr.com (authorized)
The attorney docket/reference number is 00200496.
The applicant's current Correspondence Information:
Lynn E. Rzonca
Ballard Spahr LLP
1735 Market Street, 51st Floor
Philadelphia, Pennsylvania 19103-7599
215.864.8109(phone)
215.864.8999(fax)
rzoncal@ballardspahr.com;phila_tmdocketing@ballardspahr.com (authorized)
E-mail Authorization: I authorize the USPTO to send e-mail correspondence concerning the application to
the applicant or applicant's attorney at the e-mail address provided above. I understand that a valid e-mail
address must be maintained and that the applicant or the applicant's attorney must file the relevant
3
Case 2:16-cv-07733 Document 1-5 Filed 10/17/16 Page 5 of 5 Page ID #:57

subsequent application-related submissions via the Trademark Electronic Application System (TEAS).
Failure to do so will result in an additional processing fee of $50 per international class of goods/services.

A fee payment in the amount of $550 has been submitted with the application, representing payment for 2
class(es).

Declaration

The signatory believes that: if the applicant is filing the application under 15 U.S.C. 1051(a), the applicant
is the owner of the trademark/service mark sought to be registered; the applicant is using the mark in
commerce on or in connection with the goods/services in the application; the specimen(s) shows the mark as
used on or in connection with the goods/services in the application; and/or if the applicant filed an application
under 15 U.S.C. 1051(b), 1126(d), and/or 1126(e), the applicant is entitled to use the mark in
commerce; the applicant has a bona fide intention, and is entitled, to use the mark in commerce on or in
connection with the goods/services in the application. The signatory believes that to the best of the signatory's
knowledge and belief, no other persons, except, if applicable, concurrent users, have the right to use the mark
in commerce, either in the identical form or in such near resemblance as to be likely, when used on or in
connection with the goods/services of such other persons, to cause confusion or mistake, or to deceive. The
signatory being warned that willful false statements and the like are punishable by fine or imprisonment, or
both, under 18 U.S.C. 1001, and that such willful false statements and the like may jeopardize the validity
of the application or any registration resulting therefrom, declares that all statements made of his/her own
knowledge are true and all statements made on information and belief are believed to be true.

Declaration Signature

Signature: /Lynn E. Rzonca/ Date: 10/14/2016


Signatory's Name: Lynn E. Rzonca
Signatory's Position: Attorney, PA bar member

Thank you,

The TEAS support team


Fri Oct 14 16:00:07 EDT 2016
STAMP: USPTO/BAS-12.149.10.2-20161014160007537467-87203921-
5704dbef46c8fb43a2499b087fd2c9aaddb21ca659869582f8889ab34d5b21c69-DA-3001-
20161014134226646923

4
Case 2:16-cv-07733 Document 1-6 Filed 10/17/16 Page 1 of 5 Page ID #:58

Exhibit 6
Case 2:16-cv-07733 Document 1-6 Filed 10/17/16 Page 2 of 5 Page ID #:59

Eckenrode, Theresa (Phila)

From: TEAS@uspto.gov
Sent: Friday, October 14, 2016 4:10 PM
To: Rzonca, Lynn E. (Phila); Militello, Corinne (Phila); Eckenrode, Theresa (Phila);
phila_tmdocketing
Subject: 00200496 Serial number 87203942: Received Your Trademark/Service Mark
Application, Principal Register

1. YOUR MARK: DEREK SMALLS (Standard Characters, mark.jpg)


The literal element of the mark consists of DEREK SMALLS.
The mark consists of standard characters, without claim to any particular font, style, size, or color.
2. YOUR SERIAL NUMBER: We have received your U.S. Trademark Application and assigned serial
number '87203942' to your submission. A summary of your application data is provided at the bottom
of this message and serves as your official filing receipt. Please keep a copy of this information for
your records. All correspondence concerning the application should reference your assigned serial
number.

Please read all of the important information below. Not every mark is registrable with the USPTO and
we do not refund the application filing fee(s) if a registration does not ultimately issue.
3. RECEIVING E-MAIL COMMUNICATIONS/FILING DOCUMENTS ON-LINE: Because you
have authorized receipt of correspondence by e-mail, please make sure that your server will accept
USPTO e-mail and not treat it as SPAM. If you must submit correspondence to us, please use the
Trademark Electronic Application System (TEAS) forms, available at
http://www.uspto.gov/trademarks/teas/index.jsp. Applicants who filed their application online using
the lower-fee TEAS RF application form must (1) continue to submit certain documents online using
TEAS, including responses to Office actions (see
http://www.uspto.gov/trademarks/teas/required_teas_filings.jsp for a complete list of these
documents); (2) accept correspondence from the USPTO via e-mail throughout the examination
process; and (3) maintain a valid e-mail address. TEAS RF applicants who do not meet these three
requirements must submit an additional processing fee of $50 per international class of
goods/services. However, in certain situations, authorizing an examiner's amendment by telephone
will not incur this additional fee.
4. KEEP YOUR ADDRESS CURRENT IN USPTO RECORDS: We do not extend filing deadlines
due to a failure to receive USPTO mailings/e-mailings. You must update the correspondence and/or
owner's address if a postal address and/or e-mail address changes, using the form(s) available at
http://www.uspto.gov/trademarks/teas/correspondence.jsp.
5. WARNING ABOUT UNSOLICITED COMMUNICATIONS: You may receive trademark-related
communications from private companies not associated with the USPTO. These communications
frequently display customer-specific information, including your USPTO serial number or registration
number and owner name, and request fees for trademark-related services, such as monitoring, listings
in international publications, and document filing. None of the companies offering these services are
affiliated with the USPTO or any other federal agency. All official correspondence will be from the
"United States Patent and Trademark Office" in Alexandria, VA, and if by e-mail, specifically from
the domain "@uspto.gov." Please consult the "Warning" page on the Trademarks section of the
1
Case 2:16-cv-07733 Document 1-6 Filed 10/17/16 Page 3 of 5 Page ID #:60

USPTO's website for further information about unsolicited communications and to view
representative examples of them. For general information on filing and maintenance requirements for
trademark applications and registrations, including fees required by law, please consult
www.uspto.gov, contact the TrademarkAssistanceCenter@uspto.gov or telephone 1-800-786-9199.
6. LEGAL EXAMINATION PROCESS: Your application is now pending examination. In
approximately 3 months, your application will be assigned to a USPTO examining attorney for
review. The application cannot mature into a registration unless all legal requirements are met, and
many applications never satisfy these requirements and therefore never register. The overall process
can take up to 18 months.
7. CHECK STATUS AND REVIEW DOCUMENTS OR YOUR APPLICATION MAY BE
UNINTENTIONALLY ABANDONED: You must check the status and review all documents
associated with your application at least every 3-4 months using Trademark Status and Document
Retrieval (TSDR), available at http://tsdr.uspto.gov/.

Promptly e-mail the TrademarkAssistanceCenter@uspto.gov or telephone 1-800-786-9199 (select


option #1) if an Office action (letter from the USPTO) or notice has issued for your application that
you did not receive or do not understand. Failure to respond timely to any Office action or notice may
result in the abandonment of your application, requiring you to pay an additional fee to have your
application revived even if you did not receive the Office action or notice.
8. FILING ERRORS: If you discover an error in the application data, you must file a Voluntary
Amendment at http://www.uspto.gov/trademarks/teas/miscellaneous.jsp. Do not submit any proposed
amendment to TEAS@uspto.gov, because the TEAS technical support team may not make any data
changes. Please wait approximately 7 days after the filing date of your application to submit a
Voluntary Amendment in order to allow for initial upload of your application data into the USPTO
database. The assigned examining attorney will determine the acceptability of any Voluntary
Amendment during examination. Not all errors may be corrected. For example, if you submitted the
wrong mark or if the proposed correction would be considered a material alteration to your original
filing, it will not be accepted. In this situation, your only recourse would be to file a new application,
with a new fee and no refund of your original filing fee.
9. REQUEST FOR REFUND AND/OR CANCELLATION: Since your application has already been
assigned a serial number, please do not contact TEAS@uspto.gov to request a refund or to cancel the
filing. We will only cancel the filing and refund the filing fee if the application does not meet
minimum filing requirements. The fee is a processing fee that the USPTO does not refund, even if
your mark does not proceed to registration.

In the limited situation where you inadvertently filed identical applications, one immediately after the
other, because no confirmation of the first filing was received, please provide both serial numbers to
the technical support team at TEAS@uspto.gov.
10. SelectUSA: The United States represents the largest, most dynamic marketplace in the world and is
an unparalleled location for business investment, innovation, and commercialization of new
technologies. The U.S. offers tremendous resources and advantages for those who invest and
manufacture goods here. Through SelectUSA, our nation works to promote and facilitate business
investment. SelectUSA provides information assistance to the international investor community;
serves as an ombudsman for existing and potential investors; advocates on behalf of U.S. cities, states,
and regions competing for global investment; and counsels U.S. economic development organizations
on investment attraction best practices. To learn more about why the United States is the best country
in the world to develop technology, manufacture products, deliver services, and grow your business,

2
Case 2:16-cv-07733 Document 1-6 Filed 10/17/16 Page 4 of 5 Page ID #:61

visit SelectUSA.gov or call +1-202-482-6800.


SUMMARY OF APPLICATION DATA FOLLOWS:

APPLICATION DATA: You have filed a Trademark/Service Mark Application for registration on the
Principal Register using a TEAS RF application form.

The applicant, Century of Progress Productions, a personal services corporation legally organized under the
laws of California, having an address of
13801 Ventura Blvd
Sherman Oaks, California 91423
United States

requests registration of the trademark/service mark identified above in the United States Patent and
Trademark Office on the Principal Register established by the Act of July 5, 1946 (15 U.S.C. Section 1051 et
seq.), as amended, for the following:

International Class 041: Entertainment, namely, live music concerts; Entertainment in the nature of
presenting live dramatic, comedic, and musical performances; providing online non-downloadable video clips
and other multimedia materials containing audio, video, artwork, and/or text from or related to live dramatic,
comedic, and musical performances; providing a website with information concerning live dramatic,
comedic, and musical performances
Intent to Use: The applicant has a bona fide intention, and is entitled, to use the mark in commerce on or in
connection with the identified goods/services.

The applicant's current Attorney Information:


Lynn E. Rzonca and all of the firm of Ballard Spahr LLP
Ballard Spahr LLP
1735 Market Street, 51st Floor
Philadelphia, Pennsylvania 19103-7599
United States
215.864.8109(phone)
215.864.8999(fax)
rzoncal@ballardspahr.com (authorized)
The attorney docket/reference number is 00200496.
The applicant's current Correspondence Information:
Lynn E. Rzonca
Ballard Spahr LLP
1735 Market Street, 51st Floor
Philadelphia, Pennsylvania 19103-7599
215.864.8109(phone)
215.864.8999(fax)
rzoncal@ballardspahr.com;phila_tmdocketing@ballardspahr.com (authorized)
E-mail Authorization: I authorize the USPTO to send e-mail correspondence concerning the application to
the applicant or applicant's attorney at the e-mail address provided above. I understand that a valid e-mail
address must be maintained and that the applicant or the applicant's attorney must file the relevant
subsequent application-related submissions via the Trademark Electronic Application System (TEAS).
Failure to do so will result in an additional processing fee of $50 per international class of goods/services.

3
Case 2:16-cv-07733 Document 1-6 Filed 10/17/16 Page 5 of 5 Page ID #:62

A fee payment in the amount of $275 has been submitted with the application, representing payment for 1
class(es).

Declaration

The signatory believes that: if the applicant is filing the application under 15 U.S.C. 1051(a), the applicant
is the owner of the trademark/service mark sought to be registered; the applicant is using the mark in
commerce on or in connection with the goods/services in the application; the specimen(s) shows the mark as
used on or in connection with the goods/services in the application; and/or if the applicant filed an application
under 15 U.S.C. 1051(b), 1126(d), and/or 1126(e), the applicant is entitled to use the mark in
commerce; the applicant has a bona fide intention, and is entitled, to use the mark in commerce on or in
connection with the goods/services in the application. The signatory believes that to the best of the signatory's
knowledge and belief, no other persons, except, if applicable, concurrent users, have the right to use the mark
in commerce, either in the identical form or in such near resemblance as to be likely, when used on or in
connection with the goods/services of such other persons, to cause confusion or mistake, or to deceive. The
signatory being warned that willful false statements and the like are punishable by fine or imprisonment, or
both, under 18 U.S.C. 1001, and that such willful false statements and the like may jeopardize the validity
of the application or any registration resulting therefrom, declares that all statements made of his/her own
knowledge are true and all statements made on information and belief are believed to be true.

Declaration Signature

Signature: /Lynn E. Rzonca/ Date: 10/14/2016


Signatory's Name: Lynn E. Rzonca
Signatory's Position: Attorney, PA bar member

Thank you,

The TEAS support team


Fri Oct 14 16:10:06 EDT 2016
STAMP: USPTO/BAS-12.149.10.2-20161014161006769521-87203942-
57068eb62142dd1e99dff8d251012dd6b219a2a55971d4c55d91e246289f2f32b-DA-3237-
20161014134443427792

4
Case 2:16-cv-07733 Document 1-7 Filed 10/17/16 Page 1 of 5 Page ID #:63

Exhibit 7
Case 2:16-cv-07733 Document 1-7 Filed 10/17/16 Page 2 of 5 Page ID #:64

Eckenrode, Theresa (Phila)

From: TEAS@uspto.gov
Sent: Friday, October 14, 2016 4:15 PM
To: Rzonca, Lynn E. (Phila); Militello, Corinne (Phila); Eckenrode, Theresa (Phila);
phila_tmdocketing
Subject: 00200496 Serial number 87203958: Received Your Trademark/Service Mark
Application, Principal Register

1. YOUR MARK: DEREK SMALLS (Standard Characters, mark.jpg)


The literal element of the mark consists of DEREK SMALLS.
The mark consists of standard characters, without claim to any particular font, style, size, or color.
2. YOUR SERIAL NUMBER: We have received your U.S. Trademark Application and assigned serial
number '87203958' to your submission. A summary of your application data is provided at the bottom
of this message and serves as your official filing receipt. Please keep a copy of this information for
your records. All correspondence concerning the application should reference your assigned serial
number.

Please read all of the important information below. Not every mark is registrable with the USPTO and
we do not refund the application filing fee(s) if a registration does not ultimately issue.
3. RECEIVING E-MAIL COMMUNICATIONS/FILING DOCUMENTS ON-LINE: Because you
have authorized receipt of correspondence by e-mail, please make sure that your server will accept
USPTO e-mail and not treat it as SPAM. If you must submit correspondence to us, please use the
Trademark Electronic Application System (TEAS) forms, available at
http://www.uspto.gov/trademarks/teas/index.jsp. Applicants who filed their application online using
the lower-fee TEAS RF application form must (1) continue to submit certain documents online using
TEAS, including responses to Office actions (see
http://www.uspto.gov/trademarks/teas/required_teas_filings.jsp for a complete list of these
documents); (2) accept correspondence from the USPTO via e-mail throughout the examination
process; and (3) maintain a valid e-mail address. TEAS RF applicants who do not meet these three
requirements must submit an additional processing fee of $50 per international class of
goods/services. However, in certain situations, authorizing an examiner's amendment by telephone
will not incur this additional fee.
4. KEEP YOUR ADDRESS CURRENT IN USPTO RECORDS: We do not extend filing deadlines
due to a failure to receive USPTO mailings/e-mailings. You must update the correspondence and/or
owner's address if a postal address and/or e-mail address changes, using the form(s) available at
http://www.uspto.gov/trademarks/teas/correspondence.jsp.
5. WARNING ABOUT UNSOLICITED COMMUNICATIONS: You may receive trademark-related
communications from private companies not associated with the USPTO. These communications
frequently display customer-specific information, including your USPTO serial number or registration
number and owner name, and request fees for trademark-related services, such as monitoring, listings
in international publications, and document filing. None of the companies offering these services are
affiliated with the USPTO or any other federal agency. All official correspondence will be from the
"United States Patent and Trademark Office" in Alexandria, VA, and if by e-mail, specifically from
the domain "@uspto.gov." Please consult the "Warning" page on the Trademarks section of the
1
Case 2:16-cv-07733 Document 1-7 Filed 10/17/16 Page 3 of 5 Page ID #:65

USPTO's website for further information about unsolicited communications and to view
representative examples of them. For general information on filing and maintenance requirements for
trademark applications and registrations, including fees required by law, please consult
www.uspto.gov, contact the TrademarkAssistanceCenter@uspto.gov or telephone 1-800-786-9199.
6. LEGAL EXAMINATION PROCESS: Your application is now pending examination. In
approximately 3 months, your application will be assigned to a USPTO examining attorney for
review. The application cannot mature into a registration unless all legal requirements are met, and
many applications never satisfy these requirements and therefore never register. The overall process
can take up to 18 months.
7. CHECK STATUS AND REVIEW DOCUMENTS OR YOUR APPLICATION MAY BE
UNINTENTIONALLY ABANDONED: You must check the status and review all documents
associated with your application at least every 3-4 months using Trademark Status and Document
Retrieval (TSDR), available at http://tsdr.uspto.gov/.

Promptly e-mail the TrademarkAssistanceCenter@uspto.gov or telephone 1-800-786-9199 (select


option #1) if an Office action (letter from the USPTO) or notice has issued for your application that
you did not receive or do not understand. Failure to respond timely to any Office action or notice may
result in the abandonment of your application, requiring you to pay an additional fee to have your
application revived even if you did not receive the Office action or notice.
8. FILING ERRORS: If you discover an error in the application data, you must file a Voluntary
Amendment at http://www.uspto.gov/trademarks/teas/miscellaneous.jsp. Do not submit any proposed
amendment to TEAS@uspto.gov, because the TEAS technical support team may not make any data
changes. Please wait approximately 7 days after the filing date of your application to submit a
Voluntary Amendment in order to allow for initial upload of your application data into the USPTO
database. The assigned examining attorney will determine the acceptability of any Voluntary
Amendment during examination. Not all errors may be corrected. For example, if you submitted the
wrong mark or if the proposed correction would be considered a material alteration to your original
filing, it will not be accepted. In this situation, your only recourse would be to file a new application,
with a new fee and no refund of your original filing fee.
9. REQUEST FOR REFUND AND/OR CANCELLATION: Since your application has already been
assigned a serial number, please do not contact TEAS@uspto.gov to request a refund or to cancel the
filing. We will only cancel the filing and refund the filing fee if the application does not meet
minimum filing requirements. The fee is a processing fee that the USPTO does not refund, even if
your mark does not proceed to registration.

In the limited situation where you inadvertently filed identical applications, one immediately after the
other, because no confirmation of the first filing was received, please provide both serial numbers to
the technical support team at TEAS@uspto.gov.
10. SelectUSA: The United States represents the largest, most dynamic marketplace in the world and is
an unparalleled location for business investment, innovation, and commercialization of new
technologies. The U.S. offers tremendous resources and advantages for those who invest and
manufacture goods here. Through SelectUSA, our nation works to promote and facilitate business
investment. SelectUSA provides information assistance to the international investor community;
serves as an ombudsman for existing and potential investors; advocates on behalf of U.S. cities, states,
and regions competing for global investment; and counsels U.S. economic development organizations
on investment attraction best practices. To learn more about why the United States is the best country
in the world to develop technology, manufacture products, deliver services, and grow your business,

2
Case 2:16-cv-07733 Document 1-7 Filed 10/17/16 Page 4 of 5 Page ID #:66

visit SelectUSA.gov or call +1-202-482-6800.


SUMMARY OF APPLICATION DATA FOLLOWS:

APPLICATION DATA: You have filed a Trademark/Service Mark Application for registration on the
Principal Register using a TEAS RF application form.

The applicant, Century of Progress Productions, a personal services corporation legally organized under the
laws of California, having an address of
13801 Ventura Blvd
Sherman Oaks, California 91423
United States

requests registration of the trademark/service mark identified above in the United States Patent and
Trademark Office on the Principal Register established by the Act of July 5, 1946 (15 U.S.C. Section 1051 et
seq.), as amended, for the following:

International Class 016: Printed matter, namely, posters, calendars, souvenir books, notebooks, note
cards, temporary tattoo transfers, photographs, printed tickets, event programs, decals, stickers
Intent to Use: The applicant has a bona fide intention, and is entitled, to use the mark in commerce on or in
connection with the identified goods/services.

International Class 025: Clothing, namely, t-shirts, long-sleeved shirts, tank tops, shirts, tops, coats,
jackets, sweatshirts, pullovers, hooded pullovers, pants, shorts, jeans, sweatpants, loungewear, sleepwear,
pajamas, bathrobes, shoes, boxer shorts, boxer briefs, underwear, belts, gloves, bandanas, caps, hats
Intent to Use: The applicant has a bona fide intention, and is entitled, to use the mark in commerce on or in
connection with the identified goods/services.

The applicant's current Attorney Information:


Lynn E. Rzonca and all of the firm of Ballard Spahr LLP
Ballard Spahr LLP
1735 Market Street, 51st Floor
Philadelphia, Pennsylvania 19103-7599
United States
215.864.8109(phone)
215.864.8999(fax)
rzoncal@ballardspahr.com (authorized)
The attorney docket/reference number is 00200496.
The applicant's current Correspondence Information:
Lynn E. Rzonca
Ballard Spahr LLP
1735 Market Street, 51st Floor
Philadelphia, Pennsylvania 19103-7599
215.864.8109(phone)
215.864.8999(fax)
rzoncal@ballardspahr.com;phila_tmdocketing@ballardspahr.com (authorized)
E-mail Authorization: I authorize the USPTO to send e-mail correspondence concerning the application to
the applicant or applicant's attorney at the e-mail address provided above. I understand that a valid e-mail
address must be maintained and that the applicant or the applicant's attorney must file the relevant
3
Case 2:16-cv-07733 Document 1-7 Filed 10/17/16 Page 5 of 5 Page ID #:67

subsequent application-related submissions via the Trademark Electronic Application System (TEAS).
Failure to do so will result in an additional processing fee of $50 per international class of goods/services.

A fee payment in the amount of $550 has been submitted with the application, representing payment for 2
class(es).

Declaration

The signatory believes that: if the applicant is filing the application under 15 U.S.C. 1051(a), the applicant
is the owner of the trademark/service mark sought to be registered; the applicant is using the mark in
commerce on or in connection with the goods/services in the application; the specimen(s) shows the mark as
used on or in connection with the goods/services in the application; and/or if the applicant filed an application
under 15 U.S.C. 1051(b), 1126(d), and/or 1126(e), the applicant is entitled to use the mark in
commerce; the applicant has a bona fide intention, and is entitled, to use the mark in commerce on or in
connection with the goods/services in the application. The signatory believes that to the best of the signatory's
knowledge and belief, no other persons, except, if applicable, concurrent users, have the right to use the mark
in commerce, either in the identical form or in such near resemblance as to be likely, when used on or in
connection with the goods/services of such other persons, to cause confusion or mistake, or to deceive. The
signatory being warned that willful false statements and the like are punishable by fine or imprisonment, or
both, under 18 U.S.C. 1001, and that such willful false statements and the like may jeopardize the validity
of the application or any registration resulting therefrom, declares that all statements made of his/her own
knowledge are true and all statements made on information and belief are believed to be true.

Declaration Signature

Signature: /Lynn E. Rzonca/ Date: 10/14/2016


Signatory's Name: Lynn E. Rzonca
Signatory's Position: Attorney, PA bar member

Thank you,

The TEAS support team


Fri Oct 14 16:15:13 EDT 2016
STAMP: USPTO/BAS-12.149.10.2-20161014161513246699-87203958-
570d2e92a3ecc6639f332c6cea0ecefc44db5b7b038f2f7d5d5437f2aadf8ab7dbd-DA-3350-
20161014134708784528

You might also like